Financial Planning Executive

Financial Planning Executive

Southwestern Investment Group

801 Crescent Centre Drive, Suite 600
Franklin, TN 37067

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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.


  • 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


  • 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 or professional designation such as CFP, ChFC, etc.
  • 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
  • Demonstrates 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
  • Maintains confidentiality discretion
  • Ability to effectively work in collaboration with others to achieve business objectives
  • Willing to grow and be challenged
  • Attends additional training as requested/deemed necessary


  • Ability to work in a traditional professional office setting or remote equivalent
  • Prolonged periods of sitting at a desk and working on a computer
  • Advanced computer skills and ability to effectively operate computer equipment, software systems and databases
  • Work schedule may vary and is determined by project schedules
  • Ability to efficiently operate all job-related office equipment
  • Ability to communicate via telephone, computer and work in virtual teams
  • Must be able to lift up to 15 pounds at a time
  • Ability to travel using personal vehicle to other office locations as needed
  • The responsibilities may require occasional overnight travel

 The specific statements shown in each section of this description are not intended to be all-inclusive.  They represent typical elements and criteria necessary to successfully perform this position.

 Employees must conduct business in accordance with applicable laws, regulations, professional standards and ethical standards and report potential compliance or ethical issues to a manager or the Human Resources Department.

Southwestern Family of Companies affirms our commitment to make reasonable accommodation to known physical or mental limitations of otherwise-qualified individuals with disabilities or special disabled veterans, unless the accommodation would impose an undue hardship on the operation of our business. Please see the Human Resources Department for additional information.

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