About the Role: We’re seeking a licensed Investment Planning professional to help clients build and maintain long-term financial plans. In this role, you’ll focus on fact-finding, suitability-based recommendations, ongoing plan reviews, and exceptional client service—while maintaining full compliance with all applicable regulations.
This is an opportunity to work with a supportive team and help clients navigate major financial decisions with clarity and confidence.
Responsibilities:
Conduct client meetings to understand goals, time horizons, risk tolerance, and current financial situation
Prepare and present investment planning recommendations consistent with client objectives and suitability requirements
Develop and maintain client relationships through proactive outreach, check-ins, and annual/periodic reviews
Explain product features, benefits, limitations, and risks in a clear, compliant manner
Maintain accurate records and complete all required disclosures and documentation
Collaborate with internal team members (e.g., operations, service, and claims/support teams as applicable)
Stay current on industry rules, product updates, and compliance requirements
Participate in ongoing training, professional development, and performance improvement initiatives
Requirements:
Must be currently licensed for investment products appropriate to the role (e.g., Series 6/63/65 or CHFC, as required by your state and product scope)
Active status with required regulators (no pending license suspensions)
Strong understanding of suitability, disclosures, and compliance obligations
Proven ability to build trust with clients and communicate complex information clearly
Comfortable meeting sales/service expectations and working toward measurable activity and results
Proficiency with CRM tools and standard office/productivity software
High school diploma required; Bachelor’s degree preferred in Finance, Business, Economics, or related field (not required in all cases)
Preferred Qualifications:
Experience in financial planning, advisory, or brokerage role (preferred)
Familiarity with retirement planning concepts and common investment vehicles
Experience working with referrals and/or building a book of business
Strong organization skills and consistent follow-through