Senior Financial Planning Associate

The Senior FPS Associate interacts with Financial Representative teams and FPS team members to complete investment paperwork and analysis tasks for their clients.

Roles and Responsibilities

• Complete, submit, and track new account investment paperwork
• Partner with leadership in leading elite financial planning operations team
• Maintain client contact, track changes, and update CRM details accordingly
• Onboard clients for established advisor teams, maintain detailed notes and records in CRM and ensure the completion of tasks
• Monitor daily team volume to reassign resources as applicable
• Assist in long term planning to help advisors expand/grow their practice
• Execute securities trades and money movement requests
• Assist with task management for the team
• Create Investment Policy Statements for investment advisory accounts using Envestnet
• Advanced knowledge of annuity applications and servicing of accounts

Education Requirements and Qualifications

• High school diploma or equivalent required
• Minimum of 2-year Associate’s degree and/or equivalent work experience
• 3-5 years of industry experience preferred
• Past brokerage/investment account opening experience
• Past customer service experience
• Active SIE, Series 7 and 63 registrations
• Willing to obtain Life, Accident & Health license within first year of employment

Ideal candidate would have:

• Bachelor’s Degree in Business, Finance and/or equivalent work experience

Competencies

• Strong organizational and time management skills with the ability to set priorities and meet deadlines
• Ability to embrace and adapt to changes in a dynamic environment
• Strong attention to detail, with accuracy and reliability
• Ability to thrive in a fast-paced environment
• Strong customer service and relationship building skills
• Ability to apply critical thinking skills for problem solving and analysis
• Excellent written and verbal communication skills
• Ability to work well within a team and individually
• Committed to professional development (e.g. licensing, registration, designations) and on-going training