Financial Planner Job Description

Financial Planner Job Description

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Financial planner provides thought leadership in identifying emerging trends and potential areas of growth for the Power BI business.

Financial Planner Duties & Responsibilities

To write an effective financial planner job description, begin by listing detailed duties, responsibilities and expectations. We have included financial planner job description templates that you can modify and use.

Sample responsibilities for this position include:

Cultivate relationships with service partners and local markets to optimize business opportunities and referrals
Ensure that all policies and procedures are followed for all client business and bank responsibilities to ensure compliance and reduce risk
Track all open cases, assets and business generated from successful cases
Prepare and ensure new business paperwork is processed successfully
You have advanced computer aptitude and knowledge of business tools (e.g., MS Office Suite, Salesforce, MoneyGuidePro and other related software packages and platforms (desired)
Business Profit Improvement
Be knowledgeable of best practices and procedures and stay ahead of emerging trends
Continually focus on retaining the client group, gaining new clients through referrals and contacts in the community, to perpetuate the growth of the Private Client Reserve
Maintaining and refreshing the corporate plan
The role is supported by a full time sales coach and reports up into a managerial spine that is dedicated to investments

Financial Planner Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Financial Planner

List any licenses or certifications required by the position: CFP

Education for Financial Planner

Typically a job would require a certain level of education.

Employers hiring for the financial planner job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Education, Business, Finance, Accounting, Economics, Financial Planning, Business/Administration, Merchandising, Financial Services, Graduate

Skills for Financial Planner

Desired skills for financial planner include:

Best practices and procedures and stay ahead of emerging trends
Competitive offerings
Economic conditions
Market trends
Practical sales techniques and prospecting
Regulatory environment
Financial industry
Seven areas of financial planning?
Practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
Business

Desired experience for financial planner includes:

Certified Financial Planner™ certification
Candidate needs to be fully bilingual (English/Mandarin)
Must be registered to sell Mutual Funds (MFDA/AMF)
Financial Planning Accreditations/Designations are preferred, however, we may be willing to train high potential candidates with a demonstrated track record of sales and customer service excellence
Handbook (CPH) within the last 2 years or must be completed within first 90 days in the role
Completion of the Certified Financial Planner designation within the first 24 months in the role

Financial Planner Examples

1

Financial Planner Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of financial planner. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for financial planner
  • Provide tailor-made financial planning advice and help clients reach their goals, using our unparalleled array of investment, credit, and everyday banking solutions
  • Actively maintain and expand your portfolio of clients using value-based relationship management practices, achieving performance targets
  • Organizing seminars
  • Develop a client base for long term Financial planning relationships in the Muskoka market (Huntsville/Parry Sound/Bracebridge)
  • Successful cndidate must be mobile to support the market (Charlotte County and Westwind)
  • Train, motivate and coach Financial Consultant team to continually develop and reinforce knowledge of the financial planning process to include retaining, expanding and deepening existing relationships and acquiring new relationships
  • Discuss client goals and objectives with Financial Consultant (FC) to determine which proposal, projection or analysis should be prepared, reviewed and delivered
  • Prepare, review and present comprehensive financial planning reports including retirement planning, tax projections, education-funding, insurance and estate planning analysis for FCs and their clients over the phone and in-person professionally and respectfully
  • Conduct research as needed for FCs, including but not limited to, complex tax and estate planning questions and personal finance topics
  • Educate FCs on the benefits of the Wealth Management group through individual or group meetings, including branch visits and conference calls
Qualifications for financial planner
  • 2 years of experience in a Financial Planner role
  • Fluent in Mandarin an asset
  • Manadarin
  • Mandarin & Cantonees, a strong asset
  • Mandarin and or French a definite asset
  • Series 7, Series 66 (or 63/65) or ability to attain within 90 days
2

Financial Planner Job Description

Job Description Example
Our company is growing rapidly and is looking for a financial planner. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for financial planner
  • Work with team members to create timely and compliant deliverables
  • Ability to understand product solution strategies for the team to address client needs as it relates to cash flow, money distribution and investment allocations
  • Research and execute managed account strategy and complete trades accurately and efficiently
  • Actively engage in weekly team meetings and events
  • Estate
  • Debt Restructuring
  • Practice Acquisition Services
  • Review of tax returns and year-end tax projections
  • Contributes to ‘continual improvement culture’ by asking questions, sharing ideas
  • Provides support for financial planning tools and software used by Wealth Management and field staff, including financial representatives and financial specialists
Qualifications for financial planner
  • It is an asset if successful candidate is fluent in Hindu, Urdu and Panjabi
  • Candidate must reside in Port Colborne
  • Mandarin/Cantonese speaking considered an asset
  • Ability to speak Mandarin/Cantonese would be considered an asset
  • Completion of the full ADFS
  • Demonstrated sales prospecting skills with a proven track record of achieving sales targets and/or results, ideally gained within the financial services industry
3

Financial Planner Job Description

Job Description Example
Our growing company is hiring for a financial planner. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for financial planner
  • Support regions with business development to find opportunities, referring work externally to professional intermediaries to build a future external network
  • Monitors, evaluates and enhances financial planning software used by home office and field personnel, including financial representatives
  • Assists Wealth Management, Financial Specialists, financial representatives and others in addressing the more complex client and prospect questions, situations and potential solutions
  • Identify your client's life and financial goals, provide comprehensive reviews and build long-term relationships through financial planning expertise, relationship building and ongoing services
  • Conduct reporting and relevant analysis using results to draw conclusions, make recommendations and continually assess the effectiveness of programs, policies and practices
  • Contribute to team and department goals while strengthening customer service and dedication
  • Monitor service, productivity and assess efficiency and implement continuous improvements
  • Acquire and apply expertise, provide mentorship, assistance and direction to others
  • Maintain a culture of risk management and control, supported by aligned risk appetite
  • Participate fully as a member of the team, support a positive and service-oriented work environment
Qualifications for financial planner
  • CFP professional required
  • Ability to speak Punjabi is an important asset
  • Completion of ADFS or equivalent
  • Attain and maintain the 5 Australian Securities and Investments Commission core competencies for providing advice to customers (Advisory - Generic and Financial Planning, Managed Investments, Superannuation, Risk and Insurance)
  • Knowledge of Punjabi
  • Completion of ADFS
4

Financial Planner Job Description

Job Description Example
Our company is searching for experienced candidates for the position of financial planner. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for financial planner
  • Be able to interpret various planning documents, including tax returns, account statements, Social Security benefit estimates, pension statements, annuity contracts, , life insurance policy documents
  • Provide training on financial planning software for FAs and Client Specialists (CSs) who wish to create plans on their own
  • Create spreadsheets to address specific issues as requested by FAs
  • Help create and deliver written articles and presentations to clients other professionals on a variety of financial planning topics
  • Have an understanding of the products and services offered within a brokerage environment, and be able to work with representatives of those departments
  • Assist in preparation of financial plans for clients
  • Manage pre-client meeting activities
  • Manage post-client meeting tasks in a timely manner
  • Evaluate clients current investments, assist in development of recommendations and presentation to clients
  • Demonstrate a high level of quality service to clients and responding promptly to their needs
Qualifications for financial planner
  • Series 6/7 & Series 63/65 or S66 (or ability to obtain in 6 months) or designation which allows one to waive the requirement (CFP of ChFC)
  • Ability to work effectively with a diverse group of individuals to accurately explain student aid programs and explore innovative opportunities to support student success and achievement
  • Ability to understand and interpret policy and procedure to accurately apply the understanding in daily contact with students and colleagues while remaining focused on student success and achievement
  • Ability to prepare and analyze reports and statistical data in a timely manner and communicate outcomes
  • O3-5 years of work experience with HNW clients - investable assets = $750,000 & complex financial planning needs
  • OUniversity degree
5

Financial Planner Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of financial planner. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for financial planner
  • Writes financial plans for clients
  • Works in a team environment to manage the financial planning process from discovery through plan delivery, maintaining communication with clients and team members as needed to coordinate the process
  • Manages meetings with clients and presents comprehensive financial plans to meet the client's needs
  • May participate in and/or lead financial planning seminars
  • Maintains a current knowledge base of trends, guidelines, rules, and standards of practice governing the use of financial products and services
  • May lead the day-to-day activities of assigned team
  • Meet with clients to discuss housing related issues including budgets, mortgages, rent payments, abatements
  • Review Income & Expenses including consumer credit scores, debt obligations
  • Gather data and enter into the organization's database for future use
  • Maintain awareness of regulations and changing government programs to assist low income housing
Qualifications for financial planner
  • OAccredited financial planning designation – CFP, RFP, Pl.Fin – IQPF (Quebec)
  • OLife insurance licensed/knowledgeable (cannot practice/sell)
  • OProfessional designations – CPA/CA, LLB
  • OCanadian Securities Course
  • Must be able to foster strong partnerships with different levels of the organization
  • Develop financial plans that will meet your client's needs and objectives

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