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Financial Planning Associate

Raymond James Financial, Inc.

Bend, ORJobNo compensation foundPosted 3mo agoSeen in employer's feed 4 days ago
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At a glance

Compensation
No compensation found
Location
Bend, OR
Work Authorization
Not specified

Requirements

Credentials this posting asks for.

SIESeries 7Series 63, 65 And/Or 66Bachelor's degree

Job overview

Raymond James Financial, Inc. is hiring a Financial Planning Associate. The Financial Planning Associate assists advisors with account management, research, data entry, and plan implementation. This role involves maintaining CRM records, ensuring compliance, and partnering with Financial Advisors to review client portfolios and goals. The associate will also evaluate retirement needs, conduct detailed document reviews, and prepare for client meetings.

Key focus areas include Assist with account opening, transfers and maintenance, Support advisors with research, data entry, and plan implementation, and Maintain CRM records and ensure compliance.

Successful candidates bring Bachelor's Degree In Related Field, 3+ Years Financial Services Experience, and SIE Required. Important skills include CRM Software, Microsoft Suite, Financial Planning Software, Financial Markets, Research, and Data Entry.

Skills & qualifications

RequiredNice to have

Skills

CRM SoftwareMicrosoft SuiteFinancial Planning SoftwareFinancial MarketsResearchData EntryPlan ImplementationComplianceFinancial AnalysisDocument ReviewCommunicationIncome Tax QuestionsEstate PlanningLegal Issues

Qualifications

Bachelor's Degree in a Related Field or Equivalent Experience3 Years Financial Services Industry ExperienceSIESeries 7Series 63, 65 and/or 66

Full job description

Responsibilities

  • Assist with account opening, transfers and maintenance

  • Support advisors with research, data entry, and plan implementation

  • Maintain CRM records and ensure compliance

  • Partner with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.

  • Evaluate overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.

  • Perform detailed document reviews; analyzes client information and situations across the financial planning spectrum to develop plan

  • Research information as necessary on a case-by-case basis

  • Prepare files for meetings with existing and new clients

  • Prepares, coordinates and follows through on any needed communication with new or existing clients

  • Respond to client questions by telephone, email and occasional personal visits.

  • Conduct research as needed related to basic income tax questions, estate planning, and other legal issues - requesting guidance when appropriate.

  • May participate in client presentations.

  • May open, transfer, and close customer accounts and maintain appropriate account records.

  • May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion of transactions.

  • Ensure firm and regulatory policies are followed within compliance standards

  • Perform other duties and responsibilities as assigned.

Proficiency in:

  • CRM software

  • Microsoft Suite

  • Financial Planning software

  • Financial markets

Education/Experience Requirements

  • Bachelor’s degree in a related field and three years’ experience in the financial services industry with an emphasis on financial, retirement and estate planning field or in marketing these services

or

  • An equivalent combination of experience, education and/or training as approved by Human Resources

Licenses

  • SIE required provided that an exemption or grandfathering cannot be applied

  • Series 7

  • Series 63, 65 and/or 66 as required by state or ability to obtain within six months

Additional Information:

  • This position is 100% onsite in Bend, OR

Mainspring Wealth Advisors, LLC and its employees are independent contractors with respect to Raymond James, not employees of Raymond James. The term “Raymond James” includes, but is not limited to, Raymond James Financial Services, Inc. (“RJFS”) and Raymond James Financial Services Advisors. Inc. (“RJFSA”) as affiliates.

PLEASE NOTE: The benefits link and benefits description below do not apply to this job posting because the hiring entity is a RJFS independent branch and all RJFS associates at this branch are independent contractors with respect to Raymond James. If you are offered a position by this RJFS branch, employment and benefits will solely be offered by the branch and not by Raymond James.

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