Financial Planning Associate

Job Details

Employment Type
Direct Hire
Apply Now

Overall Function

• Obtain and input all necessary information along with specific instructions from the advisor for plan input. • Input risk tolerance questionnaire and select customization level. • Verify paperwork is completed correctly and relay information that is still needed to advisor. • Handle case notes, processing correspondence, maintaining client case files, and filing new statements, account forms and other insurance and investment related materials. • Responding to home office inquiries • Ensuring home office compliance requirements are implemented and followed. • Maintaining annual review notes in Envestnet and mailing annual review letters to clients • Gathering information for financial advisor’s meeting with client/prospect • Preparing advisory annual review information • Preparing letter of instruction for client signature • Preparing investment policy statement, needs-based analysis, or financial plan. • Recommending fund portfolio options • Preparing and processing all paperwork needed for investment/advisory accounts. • Receiving and forwarding checks and related paperwork to investment operations area • Processing proposal amendments in Envestnet • Monitoring Envestnet for alerts and upcoming annual reviews • Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented. • Corresponding with clients to handle advisory related service issues. • Running performance reports


• At the cost of the firm, the planning associate is to gain their Series 7, Series 63, and Life and Health Insurance Licenses within 6 months of employment. • Demonstrated ability to maintain effective working relationships with clients. • Excellent oral and written communication skills • Able to practice active listening and communicate in a direct manner. • Strong attention to detail with the ability to work with a high degree of accuracy. • Ability to manage multiple diverse projects and assignments in a timely and quality manner. • Willingness to learn and continue education to earn designations. • Ability to embrace change and work in a fast-paced environment. • Able to work both independently and on a team. • Ability to maintain confidentiality A planning associate specializes in client service, investment operations, and preparing planning presentations, processing proposals, and preparing annual review paperwork. Monday- Friday 8am-5pm $50,000-$60,000 Quarterly Bonus Eligible

Submit Your Resume

Have questions?

Send us a message.

Whether you are searching for your own new job or have hiring needs for your organization, Service Specialists can help. Send us a message to get started.

This field is for validation purposes and should be left unchanged.