Financial Planner Job Description template and pdf with duties [2024]

Job summary 1

The Financial Planner is a CFP handling all financial planning analyses and provides client service support for the Senior Client Advisors. The Financial Planner is a secondary contact for client financial planning inquiries and participates in client calls/meetings.

Duties & Responsibilities 1

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The position coordinates with all members of the client financial planning team and acts as a fiduciary on behalf of the client in all financial advisory related matters.
Manage all client planning related projects from inception to completion.
Manage the financial planning process, coordinating scheduling, workload, client outreach, and final delivery of all planning related reporting, analyses and services.
- Responsible for performing financial planning research and designing solutions to client-specific planning needs.
- Review tax, insurance, and estate planning documents, identify and communicate planning opportunities to mitigate risks associated with each facet of client
- Maintain current industry/planning knowledge through attendance at seminars, industry presentations

Requirements & Skills 1

Bachelor’s Degree
CFP certification or successful completion of CFP exam and curriculum
3-7 Years related business/finance experience
Strong communication, critical thinking, relationship management skills
- Analytical and project management skills
- Possess excellent organizational skills with the flexibility to readily adapt to change
- Flexible, critical thinker and problem-solving skills

Job summary 2

The Financial Planning Team is the face of the company for our higher balance customers. As one of our Financial Planners, you are a fiduciary that focuses on delivering sound financial advice, and one that puts the customer at the center of every interaction and decision. You love interacting with people, and are an educator at heart. You are also a master at the art of the analogy and can explain complex concepts in easy-to-understand ways. In this role, you will be joining a tight-knit team that is an integral part of the organization.

Duties & Responsibilities 2

Conduct personal consultations (prep, meeting & followup) with higher balance prospects/customers, on topics such as investments, retirement and taxes
Guide customers on how to use our tools and strategies in a way that best applies to their personal situation
Deliver an above-and-beyond customer experience through multiple channels including phone, email, and screen share
- Troubleshoot customer issues and concerns, investigating why they happened, and communicating with multiple teams to find rapid resolutions
- Share the voice of the customers to the broader company, offering insights to all areas of the business to help build a better product and improve company processes (e.g., website, FAQ, UI/UX, back office procedures, etc.)
- Act as an external representative of our company, offering your knowledge to various media outlets, interview opportunities and educational articles

Requirements & Skills 2

CFP® designation
Passion for working directly with customers
Highly proficient in common wealth management strategies
Previous experience with customer/prospect-facing meetings
- Ability to build trust and communicate complex concepts clearly
- Tech savvy, specifically the ability to navigate multiple systems simultaneously to respond to customer inquiries (CRM, portfolio manager, and other internal tools)
- Creative, with a breadth of interests, and an intrinsic initiative to learn new things

Job summary 3

The financial plan includes a customized analysis to address client or prospective client goals, such as: retirement, college, risk management, asset allocation, and estate planning needs. After setting realistic expectations with the client or prospect, the Financial Planner prepares and presents a financial plan which will identify a client’s current situation, opportunities and gaps, and advise on specific steps to meet financial goals.

Duties & Responsibilities 3

Providing exceptional on-going client support by handling day-to-day service requests via phone and email
Scheduling clients with their dedicated Portfolio Consultant for ongoing consultation regarding risk tolerance, asset allocation, advice strategy and how these factors impact the portfolio and investing goals
Collaborating to achieve efficient and effective practice management within a team-based environment

Requirements & Skills 3

Job summary 4

A Financial Planner acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer.

Duties & Responsibilities 4

Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate.
Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions
Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives.
Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements
- Delivering a high quality customer service experience during each customer interaction
- Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate
- Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services.

Requirements & Skills 4

Job summary 5

This role assists financial advisor in client financial planning and advice workflow. Initially, the Financial Planner will run the operations of the practice, such as client scheduling, setting up various forms, money movement, coordinating with the back-office, and interacting with clients to take care of various service needs, etc. As familiarity with business grows, the candidate is expected to begin taking on financial analysis work at an accelerated pace. Over time, the person in this position could grow to be a Planning Specialist, a Practice Manager, or a Financial Advisor. It is expected that the candidate will soon acquire a CFP and other industry licenses such as Series 7, Series 66, and the Insurance license.

Duties & Responsibilities 5

Requirements & Skills 5

College degree is a must - preferred in Finance or Math.
Sharp Math skills are necessary.
Strong oral and written English skills are a must.
Candidate must be detail oriented, task and calendar driven, as the role involves timely task management to client service deadlines.
Since work involves interacting with High Net Worth families, the candidate should have strong self-confidence and professional demeanor.
- Candidates that have a CFP certification or will have it soon will be preferred.
- Having Series 7 designation is a Plus.
- Experience as a financial planner is a strong Plus.

Job summary 6

Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from mass affluent customer segment, primarily Retail and Business Banking. Works with Investment Advisors, Financial Advisors, Community partners, Wealth/WISD and Mortgage to deliver advice-based solutions and alternative investment and insurance solutions catered to the individualized needs of each customer and with the client's best interest in mind.

Duties & Responsibilities 6

Requirements & Skills 6

Associates' degree and a minimum of 3 years' investment or insurance sales experience, or in lieu of a degree, a combined minimum of 5 years' higher education and/or work experience, including a minimum of 3 years' investment or insurance sales experience
FINRA Series 7, 63 and 65 or 66 licenses
- Pertinent state Life/Variable Insurance (LAH) licenses
- Previous trust/fiduciary product, Financial Planning, Managed Accounts or insurance experience
- CFP (Certified Financial Planner), CLU (Chartered Life Underwriter) and/or ChFC (Chartered Financial Consultant) designation

Job summary 7

This position is responsible for providing existing and prospective clients with information regarding a wide range of financial planning products and services, utilizing specialized areas of expertise to find the appropriate products and services for each client.

Duties & Responsibilities 7

Determines specific customer needs and ensures that appropriate market transactions are executed. Provides advice to customers on personal investment product purchases.
Maintains a high level of profitable sales which meet or exceed agreed upon goals.
- Maintains expertise with the current investment product portfolio to ensure optimum marketing potential.
- Implements various business development efforts, including conducting telemarketing solicitations and sales seminars with the goal of developing relationships and generating leads.
- Keeps informed of industry product trends and issues; identifies opportunities for improvement and makes recommendations to management.

Requirements & Skills 7

College degree or equivalent experience required.
2-5 years relevant experience.
- Certification/License: Series 6, 63, 7 and life insurance licenses required. Series 24, 65 and health insurance licenses required within time period specified by management.
- Ability to foster and cultivate relationships with prospective and existing customers.
- Excellent presentation skills to enhance the organization’s image to prospective customers. Ability to communicate effectively and clearly to a broad range of existing and potential customers.

Job summary 8

We are looking for a Financial Planner to join our team.

Duties & Responsibilities 8

Assist financial advisers in preparing and maintaining financial plans
- Involved in developing integrated wealth management solutions per clients’ specific goals
- Perform financial analysis for clients to identify their needs
- Support managers in preparing ad-hoc reports

Requirements & Skills 8

CFP® practitioner or candidate preferred
Strong analytical and financial skills
Strong verbal and written communication skills
Organized with strong attention to detail
- Knowledge of Microsoft Office (Excel, PowerPoint and Word)
- Basic understanding of investment and financial planning strategies
- Must be a self-starter, problem solver and a goal-oriented, customer-centered team player

Job summary 9

Financial Planners are a key component of our wealth management team and support the Wealth Manager’s primary focus of analyzing a high net worth individual’s financial situation and navigating them to their destination. This position requires critical thinking skills and curiosity, plus the ability to work independently, remain flexible to changing priorities, and anticipate firm needs and client questions.

Duties & Responsibilities 9

Collect, organize, and synthesize client information.
Assess prospect or client’s estate, retirement, tax planning and insurance needs.
Construct and/or review all financial and retirement projections.
- Analyze client’s information to assess estate, retirement, tax planning and insurance needs.
- Coordinate planning recommendations and implement with outside professionals.
- Respond appropriately to clients’ questions and requests.

Requirements & Skills 9

B.A. or B.S. degree from accredited four-year university; social sciences or business majors preferred.
Commitment to acting in the clients’ best interests in a fee-only financial planning environment.
Respect for the confidentiality of client and corporate information.
Strong analytical skills.
Strong verbal and written communication skills.
- An understanding of the fundamentals of investing, including the characteristics and use of various investment securities, the mechanics of securities transactions, and the different types of investment accounts.
- Positive customer-focused attitude.
- Self-motivated to complete responsibilities with little or no supervision.

Job summary 10

We are seeking a Financial Planner.

Duties & Responsibilities 10

Collaborate with our financial planning team to organize and prepare complex financial plans for high net worth clients.
Work with our team’s current and prospective clients to gather, organize, input, and report on their financial data.
- Analyze prospective client’s current situation and present comprehensive recommendations.
- Monitor and re-evaluate financial plans on an ongoing basis.
- Responsible for recognizing opportunities to expand our services to clients during Financial Planning Analysis and recommend all ancillary services.

Requirements & Skills 10

3+ years of experience is required.
Must hold CFP designation along with Series 7 & Series 63 or 66.
- Experience in financial planning software.
- Insurance experience and licensing is a plus.
- Candidates must have outstanding verbal and written communication skills, as well as appropriate academic qualifications.

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Financial Planner Job Description

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