Financial Planning Associate Resume Samples

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W Heaney

Weston

Heaney

32278 Adrian Place

San Francisco

+1 (555) 905 6828

32278 Adrian Place

San Francisco

Phone

p +1 (555) 905 6828

Experience Experience

Los Angeles, CA

Financial Planning Associate

Los Angeles, CA

Schmeler Inc

Los Angeles, CA

Financial Planning Associate

Develop strong working relationships with Investment Advisors (IA), Investment Advisor Associates (IAA), and Branch Management
Prioritize and manage workflow to ensure quality, efficiency, and ensure deadlines are met; be flexible in adjusting to changing work priorities
 Assist with internal work flow system upgrades and development
Assist with internal work flow system upgrades and development
Provide management with timely reporting on issues as they affect the Financial Planning client base
 Conduct research projects on recent developments in the wealth management industry
Work with mortgage & insurance brokers when necessary to help advisors provide solutions for clients

Chicago, IL

Financial Planning Associate / CSA

Chicago, IL

Farrell-Bogan

Chicago, IL

Financial Planning Associate / CSA

Interfacing with clients and maintaining relationships by assisting clients with all their day to day inquiries
Complete client and firm paperwork for new accounts, monitor transfers, and cost basis reconciliation
Participate in client meetings and support Senior Planner in capturing client wishes via meeting notes and delivering planning strategies
Knowledge of Microsoft Office suite including Excel, Word & Outlook
Preparation of all client reports including net worth statements, and investment analysis
Construct financial and tax projections using Morningstar
Collect, organize, and synthesize personal and financial client information

present

Chicago, IL

Senior Financial Planning Associate

Chicago, IL

Rath-Streich

present

Chicago, IL

Senior Financial Planning Associate

present

Performing data entry and utilizing financial planning software packages
Assisting in the preparation of financial plans for high net worth clients
Assist with invoicing for financial planning clients
Coordinating with private banking and wealth management teams and internal resources
Assisting with the preparation of client correspondences, engagement letters, documents and presentations
Familiarity with banking and wealth management products and services
Track client engagements and maintain ongoing metrics for client assets

Education Education

Bachelor’s Degree in Finance

Florida International University

Bachelor’s Degree in Finance

Skills Skills

Ability to work independently, be a good problem solver, show initiative, and display good organizational skills
Strong attention to detail
Solid and reliable mathematical skills
 Organized, with a strong attention to detail
Solid organizational skills with the ability to prioritize tasks in order to meet deadlines in a timely manner
 Knowledge of Microsoft Office suite
Developing knowledge of department and firm policies/procedures and industry regulations related to financial planning business
Prioritize and manage workflow to ensure quality, efficiency, and deadlines are met; be flexible in adjusting to changing demand
Efficiently manage FP expectations and concerns through strong verbal and written communication skills
Investigate, resolve and follow up on FP and client issues; provide viable solutions or options

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Financial Planning Associate Resume Examples & Samples

Increase sales enablement for the Financial Planner by preparing for client meetings (Getting Ready) and supporting fulfilment of the credit, investments and everyday banking solutions
Provide consistent sales support to client request, act as a point of contact for client problems and ensure accuracy of documentation with follow-up as required
Commit to continuous learning to increase their skills, knowledge and abilities to better service clients
Communicate and interact with both clients and partners effectively primarily via email and on the phone and occasionally in person
Work in a fast paced environment, be well organized and have the ability to work through competing priorities
Spot and act on client needs identified while dealing with clients
Work both independently and in a team environment demonstrating strong collaboration skills

Financial Planning Associate Resume Examples & Samples

Business Degree in related field or equivalent work related experience
Prefer 2-3 years experience in the securities industry
Series 7 and 63, or 66 within 6 months of hire. Life, Health & Long-Term Care Insurance licenses within 12 months of hire
Basic understanding of the securities industry in general and various securities products.General understanding of securities firm back office operations
General understanding of financial planning products and techniques
Developing knowledge of department and firm policies/procedures and industry regulations related to financial planning business
Solid interpersonal skills. Able to interact and function as a member of a team; equally able to work independently on tasks or projects. Able to converse with and professionally converse with Financial Advisors and other personnel concerning financial planning subjects, only after attaining required licensing
Communicates well in both written and verbal form; able to organize subject matter and data well and present/explain it clearly so that others understand complex issues
Solid organizational skills with the ability to prioritize tasks in order to meet deadlines in a timely manner

Financial Planning Associate Resume Examples & Samples

3-5 years of financial planning experience, preferably within the nonprofit sector
Demonstrated experience in translating financial analyses into meaningful, actionable end products for operating managers
Working knowledge of basic accounting principles

Financial Planning Associate Resume Examples & Samples

 Collect, organize, and synthesize personal and financial client information
 Construct financial and tax projections using Morningstar
 Assist Senior Planner in analysis of estate plans, retirement plans, and insurance needs
 Participate in client meetings and support Senior Planner in capturing client wishes via meeting notes
And delivering planning strategies
 Create deliverables for client engagements and maintain accounts
 Coordinate planning recommendations and implementation with outside professionals
 Continuously monitor clients’ financial situations with detail and accuracy
 Be available to field ad hoc planning questions from clients
 Conduct research projects on recent developments in the wealth management industry
 Assist with internal work flow system upgrades and development
Three years experience in the financial planning/investment advisory industry
 Strong financial and analytical skills
 Strong persuasive and interpersonal skills
 Ability to identify, meet and follow through with client needs and requirements
 Must be a self-starter, problem solver and a goal-oriented team player
 Able to adjust to frequently shifting goals, projects, and priorities
 Organized, with a strong attention to detail
 Able to perform multiple tasks efficiently
 Knowledge of Microsoft Office suite
 Financial planning designations such as CFP, CLU/CHFC a plus

Junior Financial Planning Associate Resume Examples & Samples

Advanced Microsoft Outlook, Excel and Word skills
Multi-tasking and prioritization of duties
Strong written, oral, and interpersonal communication skills
Strong experience and interest in finance and accounting
Bachelor's degree finance or accounting required
Experience with clients and servicing clients

Financial Planning Associate Resume Examples & Samples

Collects, validates, and analyzes financial data
Inputs data into financial planning software and develops initial planning recommendations
Assists with ongoing net worth and portfolio monitoring and plan and account maintenance
Interacts with other team members to coordinate the delivery of service to clients
Provides ongoing support of client relationships, handles day-to-day client requests and issues
Additional projects as assigned

Financial Planning Associate Resume Examples & Samples

Build and maintain strong working relationships with a dedicated group of Financial Planners, support staff and other departments of TDW
Respond to client inquires and requests in a professional and timely manner
Submit and follow up on new account, transfer and other documents to ensure completion, advising the Financial Planner or client as required
Respond to Financial Planner and client inquiries to ensure satisfactory resolution of all concerns, coordinating responses with other departments as necessary
Investigate, resolve, and follow up on Financial Planner and client issues, providing viable solutions or options
Efficiently manage Financial Planner expectations and concerns through strong communication skills, both verbal and written
Be the number one resource for Financial Planner; coordinating additional support as required
Execute trades, cash movement, and frequent purchase plan instructions from clients and FPs
Ensure account maintenance, operations, and escalations are resolved in a timely manner
Proactively manage activity within the accounts, taking ownership of each transaction
Actively look for ways to reduce the Financial Planner’s daily administration, allowing the Financial Planner to focus on sales
Prioritize and manage workflow to ensure quality, efficiency, and deadlines are met; be flexible in adjusting to changing work priorities
Provide management with timely reporting on issues as they affect the Financial Planning client base
Ensure all personal work meets audit and compliance standards

Corp Development & Financial Planning Associate Resume Examples & Samples

Assist senior executives in project management for all stages of the M&A process including, target identification, financial analysis, deal negotiation and structuring, due diligence, legal documentation, and post-deal integration planning
Conduct detailed financial analysis to properly value potential targets and model out the financial impact of the acquisitions on the overall financial performance of the firm
Work closely with corporate and divisional management in reviewing the merits of potential acquisitions and joint ventures
Create presentations for the Operating Committee that summarize the strategic rationale and financial impact of various strategic opportunities
Plan and manage the post-transaction integration process by coordinating the activities of multiple teams from across the firm
Develop and manage the firm’s quarterly and annual financial forecast models
Work directly with the business lines to collect the necessary information to develop and update the short and long-term financial forecasts for the firm’s business lines
Work closely with the CFO in preparing quarterly financial updates for the Board of Directors
Conduct adhoc financial analyses on various corporate initiatives for the CEO and CFO
2 to 5 years of M&A experience or analytical work experience in investment banking, private equity, strategy consulting, corporate development or accounting is preferred
An advanced understanding of financial modeling and analysis commonly used in acquisition work, and working knowledge of relevant accounting principals
A candidate should possess excellent written and verbal communication skills commensurate with the requirement to work closely and confidently with senior management
Superior skills with Excel and thorough understanding of Powerpoint and Word
Bachelor’s degree required, preferably in Finance or Accounting

Financial Planning Associate Resume Examples & Samples

Interfacing with clients and maintaining relationships by assisting clients with all their day to day inquiries
Assist Principal with monitoring of client portfolios, execute trade orders, monitor cash flow needs and assisting with investment research as needed
Series 7 licenses preferred
Organized, with a strong attention to detail
Knowledge of Microsoft Office suite
Financial planning designations such as CFP, CLU/CHFC a plus

Financial Planning Associate Resume Examples & Samples

Specific Responsibilities
Professionally represent TDWFP and the Financial Planner during all interactions
Respond to Financial Planner inquiries to ensure satisfactory resolution of all concerns, coordinating responses with other departments as necessary
Process cash movement and frequent purchase plan instructions from FP
Prioritize and manage workflow to ensure quality, efficiency, and ensure deadlines are met; be flexible in adjusting to changing work priorities

Financial Planning Associate Vancouver Resume Examples & Samples

Prepare financial plans for Senior Financial Planning Consultants (SFPC) for HNW clients with 1+ million in investable assets
Attend weekly meetings with ToEs and advisors to review client files members
Update plans after client meetings as required
Ensure that all financial plans assigned are accurate, and completed in a timely manner pursuant to a Service Level Agreement

Financial Planning Associate Edmonton Resume Examples & Samples

Prepare financial plans for Senior Financial Planning Consultants (SFPC) in the POD for HNW clients with 1+ million in investable assets
Work collaboratively with the SFPC to create a preliminary financial plan that addresses the clients immediate and future goals and objectives that will be shared with the Team of Experts (ToE) for their review and input
Attend client meetings ( discovery and presentation) upon request by the SFPC
Work with Associates and Assistants from other business lines dedicated to the HNW POD in order to get information about clients required for planning purposes
Save preliminary plans and final plans on Sharepoints to be accessed by all ToEs and advisors
Order stationary as required for planning – plan covers, binders etc
Help SFPC with the completion of tracking sheets with opportunities, referrals and closed business to be shared with Senior Management
Where necessary work with the Team Manager to arrange meetings or provide updates on the HNW offering platform
Understanding of the comprehensive financial planning process including investments, asset protection, retirement, estate planning and tax issues

Financial Planning Associate Resume Examples & Samples

Proactively calling clients and booking appointments for the Financial Planners you are suporting
Communicate and interact with both clients and partners effectively in person, via email and on the phone
Work in a fast paced environment be well organized and have the ability to work through competing priorities

Financial Planning Associate Resume Examples & Samples

Oversee all Financial Planning & Analysis functions for the broker dealer including
Business reviews
Financial Analysis (expense/break-even/ad hoc)
Business development
Partner with business units and finance leaders to evaluate results and identify/remedy issues
Train, develop, and mentor a team of Analysts and Associates
Bachelors degree in Finance, Accounting, or related field
2-4 years of Financial Services experience
Experience in FP&A strongly preferred
Progress towards CPA/CFA is a plus
Proficiency in Microsoft Office, including intermediate or advanced Excel capabilities
Experience with Essbase ideal
Ambitious and tenacious; appreciates professional challenges
Innovative, thinks outside-the-box and can help drive ongoing change
Demonstrated ability to work collaboratively in a team environment
Responsive to client needs
Strong organization, time management, and oral/written communication skills

Financial Planning Associate Resume Examples & Samples

Excellent oral, written, interpersonal and relationship building skills
Ability to work independently, be a good problem solver, show initiative, and display good organizational skills
Proficient with Microsoft Office products
Knowledge of TD Waterhouse products, systems, procedures and structure
Understanding of securities industry regulations, procedures and legal framework
Understanding of the Financial Planning business is an asset
French Language Skills Required

Financial Planning Associate Resume Examples & Samples

2+ years of Investment Banking or Private Equity experience
Bachelor's Degree in a related
Experience working within the Commercial Real Estate, Banking / Financial Services, and/or Accounting industry
Previous experience with Corporate Financial Planning and Analysis
Familiarity with basic principles of Accounting
Familiarity with Commercial Mortgage Loans, Secured Credit Facility Documentation, and Fixed Income Pricing Conventions
Microsoft Office/Suite proficient (PowerPoint, Excel, etc.)
Commercial real estate or banking/financial services
Familiarity with basic principles of accounting
Understanding of primary GAAP vs. tax differences helpful
Experience with CMBS or CLO structures

Financial Planning Associate Resume Examples & Samples

Input client data gathered by the SFPC during the discovery meeting, ensure the plan is completed 5 days before client meeting for all stakeholders to review
Provide appropriate documentation – Action Plan which outlines recommendations and Next Steps to the Team Manager
Save all NaviPlan client files on Sharepoints and back up net work drive for security and audit purposes
NaviPlan software experience

Financial Planning Associate Resume Examples & Samples

Assists with client reviews
Inputs data into financial planning software and the develops of initial planning recommendations
Assists with ongoing portfolio monitoring and account maintenance
Interacts with other team members and departments to coordinate the delivery of service to clients

Financial Planning Associate Resume Examples & Samples

Construct financial and tax projections using Navi Plan
Assist Senior Planner in analysis of estate plans, asset allocation, retirement plans, and insurance needs
Create deliverables for client engagements and maintain accounts
Coordinate planning recommendations and implementation with outside professionals
Continuously monitor clients’ financial situations with detail and accuracy
Conduct research projects on recent developments in the wealth management industry
Assist with internal work flow system upgrades and development
Bachelor’s Degree in Financial Planning or related field preferred
Financial planning designations such as CFP, CLU/CHFC is not necessary but the willingness to earn the CFP certificate is a must
Ability to manage multiple client cases at once

Financial Planning Associate / CSA Resume Examples & Samples

Collect, organize, and synthesize personal and financial client information
Construct financial and tax projections using Morningstar
Complete client and firm paperwork for new accounts, monitor transfers, and cost basis reconciliation
Participate in client meetings and support Senior Planner in capturing client wishes via meeting notes and delivering planning strategies
Series 7 licenses PREFERRED
Ability to identify, meet and follow through with client needs and requirements
Knowledge of Microsoft Office suite including Excel, Word & Outlook
Experience with CRM and financial planning software REQUIRED

Financial Planning Associate Calgary Resume Examples & Samples

Prepare financial plans for Senior Financial Planning Consultants (SFPC) in the POD for HNW clients with 1+ million in invest-able assets
Finalize the plan for the SFPC in preparation for client presentation
Assist the Team Manager with referral implementation; as required
File all documentation used to complete a plan appropriately and retain for 7 years

Financial Planning Associate Resume Examples & Samples

Build and maintain strong working relationships with a dedicated group of FPs, support staff and other departments of TDW
Respond to FP & client inquires and requests in a professional and timely manner, ensuring satisfactory resolution of all concerns; coordinating responses with other departments as necessary
Provide ongoing NAG and Revenue opportunities based on upcoming client appointments and FP preference
Develop and action on marketing plans with FP to foster strong client relationships and ongoing communication
Review, submit and follow up on new account, transfer and other documents to ensure completion, advising the FP or client as required
Be the number one resource for the FP; coordinate additional support as required
Investigate, resolve and follow up on FP and client issues; provide viable solutions or options
Efficiently manage FP expectations and concerns through strong verbal and written communication skills
Execute trades, cash movement, and mutual fund purchase plan instructions from clients and FPs
Proactively manage activity within the accounts, taking ownership of each transaction; ensure account maintenance, operations, and escalations are resolved in a timely manner
Proactively look for ways to reduce the FP’s daily administration, allowing them to focus on sales activities
Prioritize and manage workflow to ensure quality, efficiency, and deadlines are met; be flexible in adjusting to changing demand

Financial Planning Associate Resume Examples & Samples

Work collaboratively with advisors to create a financial plan that addresses the clients immediate and future goals and objectives
Identify and communicate referral opportunities within each plan to advisors
Collaborate with members of our Team of Experts to implement appropriate strategies
Provide coaching to advisors on data gathering and financial plan presentation
Assist users with plans they have created themselves (i.e. self-serve advisors)
Identifying and communicating issues of complexity to the Senior Financial Planning Associate or the Senior Manager, Financial Planning with a recommended course of action
Ensure that all financial plans assigned are accurate, and completed in a timely manner pursuant to a Service Level Agreement. Completion of plans may require follow up of missing information with clients
In – depth understanding of the comprehensive financial planning process including investments, asset protection, retirement, estate planning and tax issues
Canadian Securities Course

Senior Financial Planning Associate Resume Examples & Samples

Assisting in the preparation of financial plans for high net worth clients
Assisting with the preparation of client correspondences, engagement letters, documents and presentations
Performing data entry and utilizing financial planning software packages
Managing and maintaining sensitive client information
Track client engagements and maintain ongoing metrics for client assets
Coordinating with private banking and wealth management teams and internal resources
Assist with invoicing for financial planning clients
Proficiency with Microsoft Office, Power Point, Excel and a familiarity with or ability to be trained on NumberCruncher and/or WealthTec
Strong interest in financial planning
Foundation in essential planning concepts (estates & trusts, insurance, stock options, taxes, cash flow planning)
Basic knowledge of investments and financial markets
Familiarity with banking and wealth management products and services
Strong analytical and technical abilities
Willingness to be in a support role and handle administrative tasks
Ability to manage multiple responsibilities under high pressure
Strong communication and follow-up skills
Sound judgment and reasoning abilities
A “high touch” client service approach
O 3+ years of previous experience in financial planning

Senior Financial Planning Associate Resume Examples & Samples

Assist in creating financial plans for Sr. Financial Planning Consultants and Wealth Advisors in Victoria which includes inputting data into the NaviPlan software
Engage in the financial planning process for clients with investable assets under $1MM which includes data gathering, plan preparation and plan presentation. With an objective to help increase the planning activity in the Victoria
Working closely with other members of the Team of Experts - Estate & Trust Consultants, Taxation Services and Tax Advisory , Private Banking and Insurance? to collaborate on plans to ensure a total financial solution for clients
Facilitate training in the SM Branch to promote the benefits of Financial Planning and how it leads to internal and external business opportunities
Provide software, tax, retirement and estate planning support for Wealth Advisors via phone or email. This may include writing articles from time to time
Supervise and participate in the review of financial plans completed by Wealth Advisors to ensure they meet compliance guidelines
Supervise Wealth Management Associates, providing advice and direction regarding the completion of plans including the implementation of more complex strategies and recommendations (if applicable)
Local Project work from time to time

Financial Planning Associate Resume Examples & Samples

Prepare financial plans for Senior Financial Planning Consultants and advisors in Scotia Wealth Management
Provide software, tax, retirement and estate planning support via phone and email to advisors on various financial planning topics
Proactively contribute to ongoing professional practice in the Financial Planning group. This will include maintaining awareness and currency of the latest legislative and other financial industry changes that may affect Financial Planning techniques. This may include
Writing articles or bulletins regarding legislative changes, financial planning best practices or ad hoc requests from advisors
Develop modeling strategies for the software to incorporate new legislation
Compliance / Quality Control mandate – review plans completed by advisors on an ongoing basis
Check accuracy, completeness and reasonability of assumptions in Financial Plans created by advisors and other members of the Financial Planning group to mitigate risk to the organization and improve the quality of the financial planning product. (Reviews will be completed in accordance with pre-set criteria and process standards)
Indepth understanding of the comprehensive financial planning process including investments, asset protection, retirement, estate planning and tax issues
Excellent Computer Skills (Word and Excel)

Senior Financial Planning Associate Resume Examples & Samples

Proactively support the financial planning needs of Scotia Wealth Management advisors by
Counselling on complex financial planning inquiries
Assisting or completing modelling in the NaviPlan software
Providing answers on related issues such as tax, estate or retirement planning
Creating quick tables using NaviPlan calculators
Coaching on financial plan presentations
Identifying and communicating referral opportunities within each plan
Ensuring that all financial plans assigned are accurate, and completed in a timely manner pursuant to a Service Level Agreement
Provide Financial Planning services directly to clients below the million dollar threshold by
Completing the planning process from discovery to plan presentation
Consulting with members of Team of Experts to assist in uncovering appropriate strategies
Ensuring that all financial plans assigned are accurate and completed in a timely manner
Actively support the domiciled Senior Financial Planning Consultants (SFPC) by
Collaborating on marketing /awareness to increase planning activity in their regions
Assisting in preparation of and presentation of financial plans to clients (as requested)
Proactively contribute to ongoing professional practice in the Financial Planning group by
Maintaining awareness and currency of the latest legislative and other financial industry changes that may affect Financial Planning techniques
Developing modeling strategies for the software to incorporate new legislation
Assist with the compliance and Quality Control mandate to mitigate risk and improve the quality of the financial planning product by
Reviewing plans completed by Advisors, FCs, and Financial Planning Associates
Checking accuracy, completeness and reasonability of assumptions in Financial Plans created by advisors and other members of the Financial Planning group
Identifying training opportunities that arise from the reviews
Contribute to the effective functioning of the Financial Planning & Advisory Services team by
Building effective working relationships across the team and with various business lines and corporate function contacts
Encouraging the generation of new ideas and approaches
Excellent Computer Skills ( Word and Excel)
Experience with NaviPlan software
Client facing role where you would have the opportunity to provide financial advice

Financial Planning Associate Resume Examples & Samples

40% Client Service / Business Management
Review and update client information and prepare materials for client review meetings. Attend and participate in client meetings if necessary. Provide meeting follow up support
Account trades and rebalancing
Manage and resolve client service problems
Participates in periodic client appreciation and education events
3+ years of Financial Services industry experience

Senior Financial Planning Associate Resume Examples & Samples

Proficiency with Microsoft Office, Power Point, Excel and a familiarity with or ability to be trained on NumberCruncher , WealthTec and/or eMoney
The Senior Financial Planning Associate will be an aspiring team player with a sincere desire to play a supporting role to a growing Financial Planning business. Importantly, the individual should demonstrate dynamic analytical and technical abilities, impeccable communication skills and strong attention to detail
Strong interest in financial planning; experience with complicated planning a plus
Minimum of 3-5 years of experience in financial planning or an analytical role
Intellectual curiosity
Tax background or Certified Financial Planner (CFP) designation preferred

Financial Planning Associate Resume Examples & Samples

Coordinate new client implementation process; prepare, explain and fill out paperwork with client
Understand the client’s overall needs, draft deliverables and identify value-added services that Mariner Wealth Advisors can provide
Provide exceptional client service
Prepare accurate and thorough client financial plans (cash flow projections, tax projections, estate and insurance reviews) and present plans with confidence
Assist with preparation of client’s tax return
Provide thoughtful recommendations to team based on analysis of client’s needs
Become subject matter expert on financial planning software used by the firm with ability to provide processes and efficiencies firm-wide
Schedule client meetings
Maintain and update client files and data in a timely manner
Coordinate data accumulation and input for financial planning and coordinate with Team to finalize plan for client presentation
Direct various types of monetary transactions on a day to day basis (e.g. wire transfers, journals, etc.)
Coordinate and direct client activities with other team members and assist as necessary
Maintain ongoing client communication in accordance with established schedule
Track client cost basis
Monitors portfolio activity and calculates current and historical performance
Work with mortgage & insurance brokers when necessary to help advisors provide solutions for clients
Maintain up-to-date familiarity of industry trends that affect the investment market
Adhere to ethics and employee code of conduct
Review activities within the job scope for sufficient controls to prevent errors and misstatements of financial results and to monitor for evidence of fraud
One or more years of related work experience in financial services and client service, Entry level candidates with significant internship experience will also be considered
Required to achieve CFP designation within 2 years of start date
Technical knowledge of investment industry
Positive attitude toward client relations to provide exceptional client service
Strong verbal and written communication skills are essential to effective client and team relationships
The ability to manage multiple tasks and maintain the necessary attention to detail
Desire to take initiative and add value in order to create a better client experience
Ability to organize time and perform tasks with minimal direction. Deadline oriented
Strong PC proficiency on various products including MS Office Suite, specifically MS Excel and MS Outlook
Able to manage time effectively and multi-task

Financial Planning Associate Resume Examples & Samples

Assist Wealth Advisors in all aspects of financial planning duties, including: data gathering, data input and synthesis, plan analytics, drafting correspondence, and creating financial planning exhibits
Conduct all necessary research related to investments, insurance, income/gift/estate taxation, and retirement plans. Consult with outside professionals when necessary
Coordinate and oversee the implementation of financial plans with other responsible parties
Participate in other projects as requested by management
Bachelor’s degree required
Minimum of 1-3 years of financial planning experience
CFP preferred or working towards a CFP
Series 7 and 66 (or 63 and 65) licenses required or must be obtained within 120 days of start date
Must be project oriented and be able to work independently
Excellent organization skills, ability to effectively manage multiple tasks
Intermediate level of proficiency with Microsoft Office products
Service oriented
Able to cooperate in a team environment

Financial Planning Associate CL&I Team Lead Resume Examples & Samples

College degree in business or finance accounting course work
Experience as a Financial Planning Associate or relevant experience creating plans or working with NM forms
Demonstrated ability to handle fast paced, high volume of work with high degree of accuracy
Previous work experience demonstrating analytical ability, business judgment, and independent decision-making required
Strong organizational skills with demonstrated ability to independently set priorities, meet strict deadlines, and manage multiple tasks
Proven facility with computers
Non-Registered Fingerprinted
This position has been classified as an Associated Person under NMIS guidelines

Financial Planning Associate Resume Examples & Samples

Assist Financial Advisors in the preparation and follow up for the client meetings
Works directly with financial planning clients to gather information and input into financial planning software
Uses client information to analyze and develop financial plan and strategies
Works with advisors to craft recommendations and client deliverables
Refine and develop systems and process for financial planning
Documents client files from activity
Handles incoming telephone calls for financial planning related activity
Researches inquiries regarding customer/member accounts
Prepares or coordinates the preparation of routine correspondence, reports, and special projects of a routine nature
Supports projects, administration of various programs, and processing functions as needed
Verbal or written communications with prospective or existing customers regarding financial matters
Obtaining client’s financial and/or suitability information
Additional responsibilities may be assigned in accordance with licensure and business needs
Previous financial planning experience preferred
Must be securities registered (FINRA Series 7 & 66)
Demonstrated customer service orientation/experience, 2+ years preferred
Strong technical computer aptitude and knowledge of business tools (e.g., Naviplan, MoneyGuidePro, Microsoft Excel and Word, Morningstar, Salesforce, etc.) or ability to learn
Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions
Ability to maintain integrity of sensitive/confidential information
Basic understanding of The Stonebridge Group, our products and services, and Thrivent Financial