• 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.
Quarterly Bonus Eligible