Financial Planner Job Description Sample
Location: 2010 Corporate Ridge Road, Suite 530, McLean, VA 22102
At West Financial Services, we have spent over 35 years building a firm dedicated to taking a conservative and ethical approach to growing and protecting our clients' wealth and prosperity. Since our inception in 1982, we have provided financial services on a fee-only basis, acting as a fiduciary for our clients. Each member of our team fully embraces the importance of this role and what it means for our clients. We bring planning excellence, investment discipline and personal service to everything we do.
We are seeking competent, motivated employees who share our commitment to being remarkable. To attract and retain these quality individuals, we provide a market driven salary administration program and a comprehensive benefits package. We take pride in offering a broad benefits program to its most valuable asset….our staff.
About The Job
West Financial is currently recruiting a Financial Planner. If you are the chosen candidate, you will be responsible for providing support to the Director of Financial Planning and Retirement Plan Services by executing specific tasks related to comprehensive financial planning and retirement plan consulting services, maintaining client relationships, and developing additional work product, as required.
Areas of focus:
Financial Planning Preparation and Development
Retirement Plan Consulting Services Support
Client Contact and Servicing
Marketing and Special Projects
Position requires a bachelor degree
A CFP® or CEBS designation or significant progress toward either designation
Possess 2 - 3 years' work experience in a financial services company, preferably with a financial advisor/financial planner
Strong attention to detail and aptitude for learning
Interpersonal skills to effectively deal with all types of people.
Strong communications skills, both written and verbal
Strong analytical and problem-solving skills and ability to collect, interpret and analyze data from diverse sources
Excellent computer skills including Microsoft Office, Cheshire Wealth Manager, BNA Income Tax Planner and Morningstar
Strong commitment to client service
Personal integrity and ability to discreetly handle confidential data
We pay competitively to Market, and offer a 401(k) plan with employer match – both pre-and post-tax contributions. We also offer an Employee Stock Purchase Plan along with the following benefits:
Free Banking, including discounts on loans
Paid Time Off
In addition for employees who work 30 hours per week:
Medical, Dental and Vision Insurance
Paid Parental Leave
Health Care and Dependent Care Flexible Spending Accounts
West Financial Services, a subsidiary of Sandy Spring Bank, is an equal employment opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law. We maintain a drug-free workplace environment and perform pre-employment substance abuse testing. If you require a reasonable accommodation to apply for a position with Sandy Spring Bank, please call our job line at 1-800-399-5919 and select option 5. Requests are considered on a case-by-case basis.
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi's Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients' and the public's trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop to are widely available to all.
Brief Description of the Organization
CBNA is the primary legal entity for Citi, providing products and services to consumers, financial institutions and corporate clients around the world. In the past, Citi has provided most of its internal reporting on a business by business basis. With the changes in the regulatory environment, strong legal entity reporting and governance has become essential. This team is responsible for ensuring that CBNA has the appropriate governance and control infrastructure to meet the demand for legal entity planning, execution, information management and the ever-evolving regulatory environment.
Description of the Position
Work jointly with Private Bankers and Investment Counselors to take clients and prospective clients through the financial planning process (introduction, data gathering, plan creation, plan delivery, and implementation)
Collaborate with financial planning analysts to help produce comprehensive financial plans
Interact with clients to address their financial planning issues on an ongoing basis
Participate as a member of the client advisory team, along with Investment Counselors, and Trusts & Estates professionals, to develop integrated solutions for clients
CFP® practitioner with a 10 years experience creating and presenting comprehensive financial plans for high and ultra high net worth individuals
Strong verbal and written communication skills
Knowledge of Microsoft Office (Excel, Outlook, and Word) and experience using NaviPlan Select or similar financial planning software preferred
Experience training financial planning concepts and collaborating with a team of wealth management professions is a plus
Working knowledge of cash flow planning, investment planning, income tax planning, retirement planning, insurance planning, and estate planning
Experience with Qualified Defined Benefit and Defined Contributions Plans, concentrated stock positions, stock options analysis, and business succession planning for privately held companies is critical
FINRA Series 7, 63 and 65 or 66
First Republic Investment Management, a subsidiary of First Republic Bank, was founded on the principles
of unbiased professional investment advice and dedication to their clients. The roots of First Republic
Investment Management, an SEC registered investment advisor, extends over 80 years. In June 2007,
Trainer, Wortham & Company and Starbuck, Tisdale & Associates, both formerly wholly owned subsidiaries
of First Republic Bank, united to form First Republic Investment Management.
Presently, First Republic Investment Management has AUM of more than $27 billion. Its sole focus is
investment management and the mission is to provide personal, timely, and unbiased investment advice to
our clients. We manage assets for individuals, families, foundations, endowments and other institutions. The
firm is relationship driven and we measure success not by the value of the assets we manage, but by the
number of clients we retain.
First Republic Bank, a leading provider of private banking, private business banking and wealth management
services, has 61 offices. The Bank specializes in delivering personalized relationship-based service through
preferred banking or trust offices in major metropolitan areas: San Francisco, Los Angeles, Santa Barbara,
Newport Beach, San Diego, Portland, Boston, Greenwich and New York City.
First Republic Investment Management provides a wide range of investment advice for our clients. A
primary goal of the firm is to generate steady and attractive long-term returns through all natural economic
and market cycles. Within this framework, we build customized investment strategies to suit each client's
unique objectives through highly disciplined, diversified portfolios. By building diversified equity portfolios,
and including high quality bonds when appropriate, we strive to provide sound returns over the long term.
The Financial Planner is responsible for the design, implementation and administration of the financial
planning function for First Republic clients and prospects. He or she will be responsible for gathering
assets, addressing individual client needs. The primary responsibilities of the position are to:
Offer clients the highest level of personalized financial planning services
Help to generate growth in assets under management through their participation in client and prospect meetings
The individual is not expected to draft documents or prepare tax returns. The financial plans delivered to
clients should consider the following issues:
Tax planning and tax reduction strategies
Trust, trust strategy and structure
Estate planning, probate, and compliance
Cash flow modeling
Future value projections
Insurance analysis and strategy
Legal obstacles and opportunities
He or she will be responsible for ensuring that the level of client service delivered is at the same high level
that First Republic clients have come to expect from their bankers and Investment Professionals.
Experience in providing complex financial planning, estate, tax and other such advice in the high networth and ultra high net worth sector
An entrepreneurial, client-focused individual, with a bias for solutions and outstanding client service delivery
A true team player who puts the client and the organization first
Thought leadership through superior consulting and influence management skills
Advanced knowledge of planning practices and regulatory and compliance issues
Excellent analytical and modeling skills. This executive will have held roles with very strong analytical and strategic orientations
Proven leadership skills
The ability to work effectively in teams to facilitate group consensus across multiple stakeholder groups
Strong relationship management skills, extensive internal consulting experience, and a strong customer service orientation
Strong verbal and written communication skills, particularly with regard to client and executive management teams
The ability to translate prior knowledge and experience into strong and productive relationships internally and externally
A respected business partner who adds value to the broader team
Goal minded and able to motivate a team and mobilize the resources to accomplish objectives
Naturally competitive with a strong belief in the power of team work and consistency
Accountability to co-workers and clients
Constantly intellectually curious and quantitative in thinking
Excellent interpersonal, verbal and written communication skills
An undergraduate, and preferably a graduate, degree from a top tier university is required
Certified Financial Planner
A Master of Science in Financial Planning is very attractive
A JD, or LLB, with a practice in Estate Planning, Tax Planning is very useful
About The Role
As a SoFi Financial Planner you will be the most direct connection point with our Members. You will use your professional expertise and SoFi's best practices around advice to help Members make the right financial decisions and identify the appropriate products to support their needs. You will be the most important creator of our customer experience; showcasing the company and helping Members live their best financial lives.
Additionally, you will be a subject matter expert helping SoFi continue to evolve and refine how we engage Members across both digital and offline platforms.
By joining SoFi, you're joining a new kind of finance company based around speed, transparency, and alignment with our members' interests. Our goal is to be the center of our members' financial lives. We created student loan refinancing, addressing the biggest financial challenge this new generation has through a new approach to lending. We expanded into other types of loans, and then into insurance and wealth management with similarly inventive products. As the company has grown, we've been able to help more people with these tools.
SoFi has achieved significant growth, with big plans ahead. In just the last year, we've more than doubled our member base (300,000 strong), doubled loan volume ($8 billion in 2016), and grown our team from under 200 people to more than 1,000. We're preparing to go global, with expansion to Australia and Canada planned this year. And we're well capitalized to power all this growth, having raised $1.9 billion in equity backing. But we'll only be able to continue this growth with great talent, and that includes you.
Enthusiastically and professionally coach and guide clients through financial decisions.
Work directly with clients via phone and email to provide support.
Periodically attend SoFi Community events as subject matter expert, engaging with Members in person
Provide personalized coaching as Members' progress or experience life's setbacks.
Manage and support client relationships to help drive motivation and financial progress.
Act as accountability expert and coach clients to change their financial behaviors so they can achieve the goals
Accurately build and deliver personalized financial plans to clients ensuring clients receive an exceptional quality product and an amazing customer experience.
Using exceptional organization skills to manage time ensuring schedule compliance to efficiently manage time to support and respond to customer's inquiries
Each month planner calls, emails and financial plans are reviewed and scored for quality based on the quality of delivered financial advice, customer satisfaction survey scores (NPS), timely response of plan delivery, timely response to client emails and consistency of quarterly client check-ins,
Planners are expected to assist with the progress and development of our proprietary planning process.
Planners are encouraged to participate in internal professional development training opportunities and external continuing education opportunities.
Bachelor's degree required, preferably financial services related
Minimum of 3+ years of professional work experience in delivering financial and planning advice to customers
Catered lunches, a fully stocked kitchen, and subsidized gym membership.
Competitive salary packages and bonuses.
A flexible vacation policy allows you to truly relax and reboot.
Comprehensive health, vision, dental, and life insurance as well as disability benefits.
100% of health, vision, and dental premiums paid by SoFI for employees and their dependents.
401(k) and education on retirement planning.
Tuition reimbursement on approved programs, up to $5,250 a year.
Monthly contribution to help you pay off your student loans.
The LifePlan Principal Membership Advisor will provide thought and practice leadership for LegalZoom LifePlan's membership advisor team. You will work with and within a team of specialists who provide exemplary support to members of LegalZoom's growing employee benefit offering, LifePlan. The team's primary responsibility is to connect LifePlan Members with the right combination of Legal, Insurance, Financial and Tax services based on the life event or situation a member faces.
As a Principal Membership Advisor, you will engage members in a highly consultative service experience designed to inform and delight. You will drive the up-skilling and education of the advisory team's knowledge of the interplay between Estate Planning/Tax/Financial/Insurance matters. You will be required to collaborate with different facets of LegalZoom and/or our partner network to satisfactorily resolve member cases, uphold, and continuously improve LifePlan standards of service.
Our ideal candidate thrives on being a trusted advisor, is passionate about helping others, has a humble and entrepreneurial spirit, and believes strongly in providing exceptional client service.
What you'll do:
Provide personal financial planning consulting services to LifePlan members
Serve as resident Subject Matter Expert. Will set and manage the practice standards for our 3rd party financial and insurance advice partners
Create and monitor financial and insurance practice standards for LegalZoom's membership advisor team
Maintain practice knowledgebase and flows with topics to include budget creation and management, credit card debt management, student loan management, debt consolidation, personal investment strategies, savings strategies, life stage planning (college, retirement, child birth, etc), insurance strategies, tax strategies and estate planning.
Promote professional development amongst the team by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry.
Keep abreast of significant changes or developments (e.g. taxation, regulatory, legal, and competitive) within the financial services field.
Model, coach, and educate team members on conversational competency in financial planning, life insurance, estate planning, and tax planning.
Leverage LifePlan related collateral, information articles and similar to send to members who could benefit from more detailed information. Identify the need for additional collateral and work with Marketing/Content Management to drive their development
Monitor trends and report common member feedback to help identify opportunities to continuously improve the member experience and process efficiencies.
Continuously identify process improvement opportunities along with business solutions.
Advanced mastery of general estate planning, transactional legal concepts, tax planning, financial planning and/or insurance Ability to present and educate others with diverse backgrounds and varying levels of proficiency in investment, finance, insurance, and tax planning concepts
Must be able to communicate effectively with Members, attorneys/admins, accountants, insurance advisors, and financial advisors in a highly professional and positive manner.
Ability to quickly learn new technologies that may be put in place to service LifePlan Members.
Seasoned professional contributor works independently
Hands on team player who will do what it takes to make the entire LifePlan team successful.
Ability to work in a fast-paced work environment.
Minimum 8 years of client-facing tax, wealth management or financial planning experience
BA/BS required, advanced education and/or industry certifications preferred. Examples include:
Series 7, 65 or 66 and/or State Life Insurance
Certified Financial Planner (CFP®), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC)
Bilingual in English and Spanish languages preferred
Minimal travel required (less than 10%)
LegalZoom is an Equal Opportunity Employer, dedicated to diversity.
Full Time Opportunity
Develop and maintain relationships of trust and loyalty with clients to help with an excellent service.
Essential Duties and Responsibilities
Use as a basis the financial process through the life cycle of the client and his other financial needs. Increase customer relationships, services, products and profitability. Offer advice to the client in an integrated manner, through the collaboration of work teams composed of employees from different specialties or lines of business of the Bank and other Popular companies.
Bachelor in Business Administration with concentration in: Accounting, Economics, Finance or Management.
Minimum of three (3) years of experience with financial products and services, business development, laws, regulations and state and federal regulations that govern the financial industry; preferably CFP, MBA, CPA or JD certifications.
Excellent customer service and sales skills with affluent customers.
Excellent teamwork skills, interpersonal relationships and negotiation.
Excellent oral presentation skills and effective meeting management.
Technical knowledge of investments, trusts, testaments, insurance, contributions on income and flow, budgets, business succession, individual credit and retirement plans.
Knowledge of banking products and services.
High level of organization to establish priorities, work with multiple tasks simultaneously, meet deadlines and be flexible to change.
Excellent analysis and sales skills, task coordination and problem solving.
Ability to work under pressure with a minimum of supervision.
Excellent writing skills and presentation creation.
Availability to attend, during and outside regular working hours, activities, presentations and other initiatives of interest to customers.
Identify problems, analyze their causes and solve them in a timely, accurate and efficient manner.
Knowledge and mastery of MS Office: Word, Excel, Power Point and Outlook.
Mastery of English. Excellent oral and written communication, both in Spanish and English
Collaboration & Teamwork
Business Profit Improvement
Practice Acquisition Services
Review of tax returns and year-end tax projections
Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune magazine's list of "World's Most Admired Companies" since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.
Apply for this job now or contact our nearest office at for additional information.
All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.
2018 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans
Req ID: 04380-
Functional Role: Financial Analyst - Manager
Postal Code:* 75024
Requirements:* "Our client, a growing wealth management firm, seeks an Associate Financial Planner. This is an incredible opportunity with a company that offers the ability to transition into a financial planning career. If interested, please email your resume to me directly at ." 3 Keys: 1) 1+ years public tax or audit (tax preferred) 2) CPA or candidate 3) desire to pursue career in financial planning
Callahan Financial Planning is seeking to hire an experienced personal financial planner who has been successfully managing high net worth relationships with individuals/families. This is a salaried full-time position.
Callahan Financial Planning is an Omaha-based, fee-only personal financial planning and investment advisory practice. Founded 7 years ago, the firm is growing quickly and requires employees that can easily adapt to a rapidly changing environment. A typical employee interacts with a wide variety of new and different software platforms, that often change to adapt to competitive pressures and industry advances.
A qualified candidate would be responsible for:
- Preparing financial planning and investment data, analysis and reports for clients
- Providing financial planning, tax, estate, and investment advice to clients via phone, email, or in-person
- Maintaining daily processes to meet client and firm responsibilities
- Assisting with research and projects to improve workflow and productivity and other potential improvements that benefit clients and our firm
- Maintaining all necessary office and client records, including taking detailed notes about every interaction with clients, prospects and outside firms
- Greeting, interacting with and answering calls for current and prospective clients with inquiries about their financial plan or potentially becoming a client
- Maintaining and assist in the management of all necessary office and client records
- Conducting business with a high degree of confidentiality, including adherence to the company’s code of ethics, policies, procedures and that of regulators and the CFP Board
All employees of Callahan Financial Planning generally exhibit the following competencies:
- Problem Solving and Adaptability
- Creative problem solving skills and regular fluency of new ideas
- Quick thinking and flexibility in response to rapid change
- Active learning and deductive reasoning
- Drive for continuous improvement in self, processes, and tasks
- Ability to accept constructive criticism and parry distractions smoothly
- Analytical and Strategic Thinking
- Highly analytical and critical thinker
- Strong decision-making ability
- Ability to synthesize large amount of information
- Communication and Behavioral Navigation
- Compassionate and caring for others
- Strong behavioral/interpersonal navigation ability
- Ability to relate and empathize genuinely and professionally
- Professional and Technical Knowledge
- Strong subject knowledge of personal financial planning and income taxes in the U.S.
- Knowledge of a broad range of other personal financial topics/matters that may apply to individuals/families
- Productivity, Organization, and Task Management
- Well organized and task-oriented
- Attentive to the bigger picture and careful to avoid a narrow perspective
Other General responsibilities:
- Assist and support other financial planning staff members and perform duties as assigned by supervisor
- Work in a small team collaboratively
- Write and manage emails, and place and receive calls from clients, media, staff and others
- Assist in the ongoing compilation of financial statements, reports, and income tax returns
- Maintain a professional appearance and attitude in all activities and interactions
- Greet, interact with and answer calls for current and prospective clients with inquiries about their financial plan or potentially becoming a client
- Support office legal compliance by studying rules and laws affecting our industry and ensuring compliance
- Take detailed notes about every interaction with clients, prospects and outside firms
All candidates applying to work with us should:
- Hold competencies generally consistent with those outlined in this description
- Be passionate about personal financial planning, and understand and value the difference a fee-only financial planning approach makes (service without a salesperson)
- Be willing to assist and interact with clients (or prospective clients) to provide support with all their financial questions
- Aspire to be a part of building a financial planning company that’s never been built before
- Possess a desire to grow within our company
- Bachelor's Degree or greater
- 2 years + experience in interacting with clients in a direct financial advisory capacity
- Certified Financial Planner (CFP) professional certification preferred; if not currently held, our firm may support and reimburse for CFP education/certification process
- Chartered Financial Analyst (CFA) or Certified Public Accountant (CPA) certificants receive application preference but are not required
- Hold a Series 65 or 66 license, or be ready to sit for the exam within 3 months of employment (not required for CFP, CFA, or PFS holders)
Financial Planner - U.S. Bank Private Wealth Management
Provides Private Client Reserve clients with the opportunity to obtain objective, comprehensive and needs-based advice for building and preserving wealth and transferring to future generations. Provides the following comprehensive planning services to affluent clients: asset allocation, wealth management, retirement planning, education funding, estate planning, tax strategies, investment planning, stock option analysis, executive planning, and business succession planning. Uses sophisticated planning software and other resources. Develops and collaborates with each client a specific plan tailored with suggested solutions designed to meet the client's goals and objectives. Develops and presents seminars on planning topics for clients, potential clients, and professionals. Facilitates planning with the client's other professional advisors. Identifies new clients and referral sources.
- CPA designation or JD degree
- 10 or more years of recent consulting, accounting, or legal experience with a major law or accounting firm structuring complex estate and financial planning transactions for clients with a net worth exceeding $10 million and directly advising clients on the same
Ability to independently analyze, structure, and review financial planning documents
Ability to independently address and provide solutions to administrative and tax issues in managing assets subject to such techniques
Basic knowledge of forming and operating entities typically used for estate planning purposes, including, but not limited to Limited Liability Partnerships, Limited Liability Corporations, C & S Corporations
Ability to analyze and provide solutions relative to stock options.
Strong problem-solving and analytical skills
Demonstrated leadership skills
Excellent interpersonal, verbal and written communication skills
Excellent presentation skills
Advanced Financial Planner
Serve as the primary contact with individual clients concerning comprehensive personal financial planning to corporate executives, business owners and other high net worth individuals;
Responsible for assessing client needs, developing strategic recommendations, and executing agreed upon planning projects through to completion.
Primary liaison to tax team to collaborate on tax planning and compliance projects to ensure client objectives are met in an effective and efficient manner
Support the Wealth Advisors and Portfolio Manager in the preparation of various reports for clients in the areas of cash flow planning, investment allocation, investment performance, estate flowcharts, etc.
Assists in achieving revenue goals by demonstrating expertise in internal meetings with referral partners and networking externally.
Must be passionate about staying on the cutting edge of planning strategies and industry trends.
Consistently follows procedures to be complaint.
- Related work experience of seven
- years preferred;
Estate/gift planning design and implementation
Strong working knowledge of Excel and other Microsoft Office tools;
Attention to details critical, strong organizational and multi-tasking skills;
Excellent written and verbal communication skills with emphasis on ability to effectively question and listen to clients and facilitate effective planning meetings
Ability to maintain a high level of confidentiality;
Enthusiastic and positive approach to problem-solving and client service;
Embraces the opportunity to mentor younger team members
Innovative thought processes and pro-active time management and task completion follow-through.
Understands and embraces risk management, compliance, and regulatory matters.
Ability to work, efficiently, effectively, and independently in order to see projects through to conclusion.
Undergraduate Degree in Business (Accounting a plus)
CPA®, JD, CFP®, PFS®, or related credentials strongly preferred
Experience with Schwab Institutional, eMoney Advisor, Black Diamond, Tamarack, and other financial planning software tools is a plus
NC life and health license
You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.
Experience RSM US. Experience the power of being understood.
RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.
Job ID req4209
Line of Business: Wealth Management
SubFunction: Family Wealth Services - WM
Job Type: Full Time
Req #: req4209
Location: 4725 Piedmont Row Drive, Ste. 300, Charlotte, NC US
Region: Southeast Region
Job Category: Wealth Management
Employment Type: Experienced
Degree Required: Bachelor
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