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Financial Planning Consultant (Non-Commission)
Ref No.: 18-05586
Location: New York, New York
Position Type:Direct Placement
Pay Rate : $ 70,000.00 - 80,000.00 /Year
Job Description:
The Financial Planning Consultant will work within the firm's Planning Department and directly with the CGO in the growth and implementation of our firm's planning efforts. The Financial Planning Consultant will be responsible for generating investment proposals and paperwork for the Advisors that subscribe to our firm's Planning Department. He or she will also consult with Advisors on how to sell investment business and how to do comprehensive financial planning. The Financial Planning Consultant will follow the company's investment philosophy and overall planning philosophy to help support advisors in their client's planning needs.

Representative Training and Development
  • Promote, utilize, and reinforce company planning culture, process, and tools
  • Provide training and knowledge transfer on investment concepts, suitability, and product options
  • Provide coaching for representative in the presentation of investment cases and the handling of objections from clients
  • Monitors and reinforces representative adherence with network office's business guidelines ( "House Rules”).
  • Meet with Advisors to discuss proposal, analysis, method, opinion and discuss all assumptions
  • Identify potential opportunities and constraints and assess information to formulate strategies
  • Craft financial security solution(s) accurately and in the best interest of clients
  • Share recommendations with representatives and coach to the delivery of a successful client presentation
  • Identify and inform representatives of tax consequences, costs, and applicable breakpoint information (e.g. sales charges, surrender charges, account transfer fees)

Proposal and Case Preparation
  • Prepare Financial Plans with our proprietary software PPA
  • Prepare Envestnet proposals
  • Prepare Morningstar Analysis
  • Recommend fund portfolio options
  • Prepare annual review information
  • Gather information for registered representative's meeting with client/prospect (e.g. prospectuses, annual reports, and Morningstar reports)

Sales Support and Account Services
  • Organize, manage, and coordinate back office investment sales support for our advisors.
  • Create and monitor system for account follow ups and service by investment processor
  • Thoroughly case note thought process, and analysis, and assumptions
  • Limited general account servicing as directed by representative


Education and Industry Experience
  • 3-5 years of financial services experience (preferably as an investment sales producer)
  • Experience in utilizing a planning process or methodology
  • Series 7, 66, or 65 & 63, and Life Insurance license
  • Experience with both brokerage and advisory platforms
  • Investment philosophy consistent with the company
  • Committed to professional development (e.g. CLU, ChFC, CFP, CFA)