Financial Planning Associate Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the financial planning associate job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

  • Craft your perfect resume by picking job responsibilities written by professional recruiters

  • Pick from the thousands of curated job responsibilities used by the leading companies

  • Tailor your resume by selecting wording that best fits for each job you apply

WH
W Heaney
Weston
Heaney
32278 Adrian Place
San Francisco
CA
+1 (555) 905 6828
32278 Adrian Place
San Francisco
CA
Phone
p +1 (555) 905 6828
Experience Experience
09/2014 present
Chicago, IL
Senior Financial Planning Associate
Chicago, IL
Senior Financial Planning Associate
09/2014 present
Chicago, IL
Senior Financial Planning Associate
09/2014 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
09/2010 03/2014
Chicago, IL
Financial Planning Associate / CSA
Chicago, IL
Financial Planning Associate / CSA
09/2010 03/2014
Chicago, IL
Financial Planning Associate / CSA
09/2010 03/2014
  • 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
06/2008 06/2010
Los Angeles, CA
Financial Planning Associate
Los Angeles, CA
Financial Planning Associate
06/2008 06/2010
Los Angeles, CA
Financial Planning Associate
06/2008 06/2010
  • 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
Education Education
Bachelor’s Degree in Finance
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
Create a Resume
1

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
2

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
3

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
4

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
5

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
6

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
7

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
8

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
9

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
10

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
11

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
12

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
13

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
14

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
15

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
16

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
17

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
18

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
19

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
20

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
21

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
22

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
23

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
24

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
25

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
26

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)
27

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
28

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
29

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
30

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
31

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
32

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
33

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