Financial Planning Executive

Financial Planning Executive

Southwestern Investment Group

801 Crescent Centre Drive, Suite 600
Franklin, TN 37067

sarah.esposito@swinvestmentgroup.com
615-861-6100
Website

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ABOUT US

Recognized as one of the Top Workplaces in 2020, Southwestern Investment Group operates as a family. With more than 40 wealth teams covering five states, our client-focused approach continues to drive our growth across the country. We build our relationships through trust and the heart of a teacher. We partner with clients in pursuit of financial independence and planning for the future. Through our broker-dealer Raymond James, and as one of the family member companies of Southwestern Family of Companies, we have the support of a large company while offering clients the intimate service of a small firm.

 

ABOUT THE POSITION

The Financial Planning Executive will work independently, using advanced skills gained through training and experience to provide proactive support to financial advisors and assist with efficient, quality client service.  This position will follow established procedures to perform routine tasks and will receive general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility.  The Financial Planning Executive will provide excellent customer service to internal and external clients and will refer new or unusual issues to a higher level.  This position will always demonstrate the company values while supporting the mission.

JOB DUTIES AND RESPONSIBILITIES:     

  • Interact daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes
  • Enter and receive orders for financial advisors
  • May service less active accounts
  • Research client and security information through back office systems
  • Process and follow up on client documentation for proper maintenance of accounts
  • Prepare letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients
  • Create and maintain records and files
  • Ensure required client paperwork is current with firm and industry requirements, rules, and regulations
  • Maintain databases and create reports using portfolio software programs
  • Assist financial advisors with marketing efforts for seminars and compliance approval for advertising literature
  • Responsible for client meeting preparations (forms, reports, presentations, etc.)
  • Supervise and train additional client services staff
  • Receive cross-training and assist with other operational functions as required
  • Perform other duties and responsibilities as assigned

REQUIRED QUALIFICATIONS:

  • Associate’s degree. Bachelor’s degree strongly preferred.
  • 5 years of prior business industry experience as registered associate in sales and support
  • Series 7, Series 65/66 registered
  • CFP required
  • Experience with related technology, software planning tools, and presentations
  • Knowledge of investment concepts, practices, products, financial markets, and procedures used in the securities industry
  • Proficient in Microsoft Office (Excel, Word, Outlook, and PowerPoint)
  • Ability to organize, manage, and track multiple projects simultaneously while accomplishing daily tasks
  • Effective oral and written communication skills and excellent interpersonal skills
  • Attention to detail, critical thinker and problem-solving skills
  • High standards for integrity, honesty, professionalism, and work ethic
  • Commitment to service excellence
  • Ability to work independently while demonstrating excellent organization and follow through
  • Demonstrate flexible and efficient time management and ability to follow instructions and prioritize workload
  • Ability and willingness to move with purpose and a strong sense of urgency
  • Self-motivated, positive, and enthusiastic
  • Self- starter with a strong desire to exceed expectations and capable of supporting a team
  • Maintain confidentiality discretion
  • Ability to effectively work in collaboration with others to achieve business objectives
  • Willing to grow and be challenged
  • Attend training as requested/deemed necessary

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