Opportunities Through FPAOC
To post an open position in the financial planning profession, please submit your ad in an email as an attachment in WORD to email@example.com.
Financial Services Associate (Posted 02/26/20)
We have been helping our clients fulfill their financial goals since 1998. Guided Path Wealth Management is a boutique firm that advocates a healthy work/life balance both for our clients and our team.Read More
Summary of responsibilities
This position requires accurate and timely completion of the firm’s administrative functions. Client interactions must be positive, professional and personable as to create and nurture confidence inspiring relationships. The objective is to have the office operate efficiently such that the advisor can focus primarily on existing and new client relationships.
- Provide an exceptional customer service experience to reinforce our firm’s value proposition: A boutique firm that focuses on treating each client like they are our only client
- Communicate in an articulate, professional and timely manner
- Accurately facilitate all client paperwork; ensure all required forms are fully completed
- Review advisor case notes for accuracy, attach to client record in CRM and complete all action items as required
- Generate reports and prepare materials for advisor’s meetings with clients
- Maintain up to date, organized electronic client files, including copies of all signed applications and forms, in accordance with the firm’s compliance requirements
- Manage office administrative procedures in accordance with the firm’s compliance requirements
- Use the CRM system efficiently to schedule client meetings, enter new contacts, and document in case notes all relevant client interactions and account administration
- Data entry of all client information into the appropriate programs/software
- Regularly review our support firm’s news items, alerts, technology updates, and e-mail communications: Report pertinent information back to advisor
- Work closely with advisor to oversee all licensing, credential and continuing education requirements
- Proactively pursue available training resources to expand knowledge and operational expertise
- Make suggestions to systematize and improve office function and efficiency
- Keep office clean and presentable
- Track and order all necessary supplies
- Oversee routine client communication and correspondence
- Provide total office coverage when advisor is out of town or predisposed
- Excellent organizational skills and high attention to detail. (Including physical resources such as files, manuals, etc. and nonphysical resources such as calendars, appointments, events, client contact records, images, etc.)
- Proofreading/quality assurance skills to ensure that all work is accurate and grammatically correct
- A high level of proficiency with Microsoft Office Suite (Excel, Word, Outlook and PPT); familiarity with financial planning software a plus
- A conscientious nature and strong interpersonal skills
- Ability to work independently and differentiate between matters that should be handled alone versus those that require advisor assistance
- Ability to effectively prioritize workload and meet deadlines
- Anticipate client and advisor needs and handle them proactively
- Ability to identify and solve problems
- A self-starter who can work independently with enough patience to do repetitive work correctly
- Three years of experience facilitating Wealth and Risk Management business or five years of experience in an administrative role
- Bachelor’s Degree is a plus
- FINRA Series 6, Series 7 and/or Series 63 registrations are a plus
- Be curious – Always strive to learn and improve
- Salary will reflect experience and qualifications
- References and relevant experience required
- A background check and fingerprinting will be required upon being hired
- To apply, email your cover letter and resume to firstname.lastname@example.org
- Qualified applicants will be contacted to schedule an interview
Account Operations Specialist (Posted 02/21/20)
Financial Planning & Investment Advisory Firm
Compensation based on experience.
Crane & Associates is seeking a full-time Account Operations Specialist to join our expanding financial planning and investment advisory family.Read More
Crane & Associates is an independent advisory firm, based in Orange County, California, dedicated to financial planning and investment strategies.
For more than 43 years, individuals and businesses in Southern California have turned to Crane & Associates for expert financial guidance because our trusted advice and strategies have been proven throughout market cycles. With over $650M of assets under management and growing, we pride ourselves on institutional-level expertise with family-business values.
The Account Operations Specialist is critical to the function of maintaining existing client accounts and opening new accounts. The Account Operations Specialist provides administrative and operational support to the financial advisory team. This is a professional, administrative support role. This is not a sales role.
Our office has a small business feel with a professional culture, an experienced and knowledgeable team, and a successful and growing business practice.
Based on experience.
Health, dental, 401(k) with employer match, group life insurance, paid time off.
Schedule is somewhat flexible depending on your preference.
30-40 hours per week. (Your choice)
Start between 8am-10am, work for 6-8 hours, 4-5 days per work week. (Your choice)
- Prepare client documents, process applications and set up new accounts.
- Manage, organize and update relevant data using database applications.
- Process account transfers, IRA contributions, ACH instructions, account distributions, etc.
- Provide non-advice-related support to clients, including scheduling client meetings and responding to administrative client queries.
- Perform general clerical duties including copying, scanning, faxing, mailing and shipping.
- Ensure that all compliance tasks are completed timely and accurately, and that all necessary documentation and files are organized and completed.
- Enter and update information in CRM software.
- Ability to handle high volume of paperwork processing.
- Strong computer skills, including Microsoft Excel and Word.
- A strong focus on getting the details right the first time.
- Desire and ability to work successfully in a small company environment.
- Positive attitude.
- Willingness to learn.
- Ability to follow directions.
- Team player with the ability to collaborate with others.
- Friendly, committed, organized, and professional.
The above statements are intended to describe the general nature of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel. All personnel may be required to perform duties outside of their normal responsibilities from time to time as needed.
Equal Opportunity Employer – M/F/D/V.
Please send resume to: email@example.com
Treasury Cash Manager / Associate (Posted 01/23/20)
The Treasury Associate provides support to the Treasury group for Young’s Holdings and its subsidiaries. The Treasury Associate is a key member of the Accounting and Finance team and will report to the Treasurer. The Treasury Associate has regular exposure to confidential material and requires a great deal of professionalism, discretion, and integrity regarding dealing with internal and external contacts.Read More
Duties And Responsibilities
- Responsible For Handling All Aspects Of Online Banking To Include, But Not Limited To Account
- Setup, User Entitlements, Bank Statements, And Web Administrator
- Manage Deposit Adjustments, Petty Cash Reconciliation, And Process Remote Deposits As Needed
- Function As The Primary Liaison Between Banks, Departments, And Business Partners
- Maintain And Manage All Debt Accruals On A Monthly Basis
- New Vendor And Supplier Credit Application Set-Up And Processing, In Conjunction With The A/P Department
- Maintain Monthly Archiving Of Bank Statements
- Manage Merchant Account
- Maintain A System Of Policies And Procedures That Impose An Adequate Level Of Control Over Treasury Activities
- Manage The Monthly Maintenance Of Account Analysis To Ensure All Accounts Are Properly Charged
- Bachelor’s Degree In Finance Or Related Field.
- 5+ Years Of Relevant Work Experience In Finance.
- Ability To Work In A Fast-Paced Environment.
- Strong Knowledge Of Excel, Modeling Techniques, And Financial Analysis.
- Working Knowledge Of Standard Microsoft Suite (Word, Outlook, Powerpoint).
- Strong Analytics, Judgement, And Good General Business Knowledge.
- Excellent Communication Skills, Able To Partner Across All Functions And Levels Within The Company
- Strong Organizational And Time Management Skills With The Ability To Work Under Tight Deadlines With Competing And Shifting Priorities.
- Cash Flow Forecasting Experience
- Beverage Industry Experience
- Certified Treasury Professional (Ctp)
For apply, please send resume to Erin Brown
Lead Financial Planner (LFP)
Lead Financial Planner in Huntington Beach, CA (Posted 01/23/20)
We are looking for a Lead Financial Planner (LFP) to join us in our beautiful Huntington Beach, CA office. As our Lead Financial Planner, you will have an opportunity to build an amazing career as you practice financial planning at a top firm with a great team. You will lead client relationships, provide deep-dive comprehensive financial planning services, guide and train newer planners, and contribute to the strategic direction and growth of our firm.
That’s the high-level description, but you probably want to hear more about the details:Read More
How to succeed:
A successful LFP at Inspired Financial will…
- Lead client relationships so that you know the client as well as your best friend. You will manage every facet of their financial plan, anticipate their needs, recommend solutions and ensure they’re implemented. You’re part of a team who will help with implementation.
- Communicate clearly and regularly with our clients and the team. No one will ever ponder the status of projects or requests because you’ve proactively contacted the client with updates and all the details are captured in Salesforce (our CRM system; bonus points if you can do simple coding in Salesforce!).
- Collaborate closely with our clients’ other professional advisors. Their tax preparers and estate attorneys love you because you help them look good with the client since everyone knows the plan (you created/shared it, after all) and you’re keeping track of the details.
- Lead and close prospective client meetings. We specialize in serving women in transition and your profound compassion for their situation, superlative communication skills, and deep technical knowledge make you an ace at securing new business.
- Develop and train associate planners and client services staff for growth and advancement. We have a terrific team and you’re active in helping us all up our game. You also seek input from your colleagues to learn how you can do the same.
How to excel:
You want to be the best LFP we have ever had? Here’s how:
- You are hungry for knowledge and growth. You are a lifelong learner and seek to improve your technical, interpersonal, leadership, and strategic thinking skills always. Bonus points if you’re a tax nerd and want to advance your education in this important area of financial planning.
- You make stuff happen and you see how to make things better. In fact, you’re probably already thinking of a creative way to set yourself apart and get this job.
- You love public speaking and writing. You get jazzed just thinking about sharing your knowledge in a funny, inviting manner. Whether it’s in a presentation or a blog, you’re ready to go!
- Business development is not a four-letter word to you. You’re excited to build professional and community relationships that are meaningful to you and as appropriate, you’re proud to tell your colleagues about the great work you/we do at Inspired Financial.
- You want to not just contribute to but lead the long-term growth and success of Inspired Financial. You’ve memorized our financial planner career path and know that on that path, equity ownership may be part of your future.
You must have B.A. or B.S. degree from accredited four-year university, your CFP® designation, and have at least three years client-facing work experience in a financial planning firm. If you’ve been in the business for at least three years, you likely have strong communication skills, are very organized with acute attention to detail, and are genuinely caring by nature. But we’ll mention that they’re very important, too, just in case.
About Inspired Financial
We are a fee-only, comprehensive wealth management firm. To get the “official story” on us, check out our website at www.inspiredfinancial.biz.
Behind the scenes, our Core Purpose is to Inspire joy and peace in our clients and in ourselves by helping them achieve what is important to them. We want to empower clients – primarily women and families – to feel comfortable managing their financial lives, especially during and after times of significant change. We have a culture of excellence, learning, team work, robust communication, constant improvement and fun (and, we’re located in Huntington Beach; what more could you want?!).
Compensation and Benefits
We offer a competitive salary, depending on experience, with generous benefits!
- Competitive salary plus bonus potential
- 401(k) with company match
- Company-provided health insurance
- Relocation Benefits (if applicable)
- Advanced degree or credentialing support (as mutually agreed)
- FPA and/or NAPFA Membership
- Team Fun and Retreats
- Diverse team perks like monthly car washes, company-paid educational events, escape room outings, and one professional conference per year
How to Apply
To apply, please send your resume, cover letter and short essay responses (see below) to our HR company at Jobs@theworksconsulting.com. Please be creative. Boring resumes are boring.
- Short-Essay Questions (500 words or less per question; brevity is a virtue):
Why do you want to work for Inspired Financial? and/or Why do you want to work with women in transition?
- What would you bring to Inspired Financial that is unique and special?
- What would you need from Inspired Financial to reach your highest potential?
- What is the most interesting thing you know about Huntington Beach, CA?
Wealth Management Advisor (Posted 12/05/19)
Presidio Capital Management (PCM) is a fee-based, independent wealth management firm with office locations in San Diego and Orange Counties. By delivering financial strategies that are built on data, not opinion, we strive to help people lead better lives through our in-depth financial planning process. We offer comprehensive financial advice and impeccable service to individuals and businesses in the areas of investment management, retirement planning, tax planning and estate planning. As an independent firm, we have no obligation to sell proprietary products or services. We can be openly selective in offering only those investments we believe are best suited to address our clients’ financial objectives. Team members at PCM are encouraged to maximize their talents. We believe this is an empowering opportunity to create a career that is directly aligned to their personal vision. With loyal dedication to our employees, together, we can deliver solutions that support our clients’ ability to retire more confidently and live more fulfilling lives.Read More
Our team is seeking an experienced financial advisor with a planning approach and a leadership mentality. Baby Boomers are retiring at the rate of 10,000 per day. PCM perceives this statistic as an amazing opportunity to target an under-served market and make a lasting impact on this generation and their kin. Through our educational engagements, we have built a large database of clients and prospects eagerly awaiting your time and attention. Cold calling is not our strategy.
If you feel passionate about helping individuals and businesses but haven’t been empowered to take your skills and knowledge to the next level, this is the position for you. Advisors at PCM are collaborative but embody a leadership confidence that’s makes our clients feel passionately assured about the education and advice they’re receiving.
PCM is focused on recruiting top talent that is hungry for professional flexibility while maintaining integrity and ethical standards. Your ability to remain calm and flexible in changing financial landscapes and with varying client needs are crucial to providing superior service. This is a fast-paced environment that demands a professional who is quick on their feet but choose to forgo a transactional acquaintanceship for the long-lasting planning, trusted advisor relationship. If you have strong financial planning skills, the ability to execute, and an emotional intelligence that resonates with people, we’d like to speak to you.
- Provide client engagement/relationship and portfolio management
- Coach clients and potential clients through the process of determining their financial goals.
- Contribute to the leadership of the group through active mentorship and participation.
- Serve as an ambassador for the firm by earning referrals from clients and professionals.
- Maintain compliance with all company and regulatory policies to the utmost standards.
- Continue to develop your own knowledge and application of financial products and strategies to support and enable the growth of our team and clientele.
Required Skills and Expertise
- The ideal candidate will have a minimum of 10 years relevant experience.
- Bachelor’s degree or higher with active securities licenses
- CFP® and/or CFA credentials
- Excellent interpersonal, communication, and presentation skills
- The ability to be self-sufficient and work independently
- Experience in achieving a high level of client satisfaction
- Problem solving skills in analytics, strategy, and tactical levels
Compensation & Benefits
- Competitive Salary starting range of $90,000-$150,000
- Performance-based bonuses & profit sharing.
- 401(k) with match
- Health benefits to include Dental, Vision, and Chiropractic Care for individuals and dependents.
- Flexible vacation/sick time
- Future growth & equity opportunities within the organization
For questions feel free to reach out to David@presidiocm.com
Investment Professional Team Member (Posted 11/06/19)
A unique opening is available for an accelerating career in financial services with an empowered boutique small team office of six. We believe in working to live a balanced, rich life with true meaning and purpose, not just living to work. For over 18 years, McCarthy Wealth Management has been providing sound, caring financial advice to families and businesses in the Orange County Area. We offer career growth with a balanced reasonable work week with 3 weeks paid time off, 10 paid holidays, a competitive base salary, health insurance benefits, a generous 401(k) profit share, a bi-annual 10% bonus, a yearly share of revenues and community volunteer opportunities. This is an opportunity to let your leadership skills develop and shine to truly have a meaningful career, not just a job. Work location is 3300 Irvine Ave, Newport Beach, CA 92660. Learn more: www.mccarthyWM.com.Read More
- Investment Portfolio research and analysis, financial analysis and financial plan preparation
- Joint review meetings with lead advisor for clients with $500K – $10M investment portfolios.
- Follow through on projects and tasks from client reviews.
- Participate in portfolio construction with quarterly Investment Policy Committee meetings.
- Opportunity to lead client review meetings after an initiation period.
- Bachelor’s degree.
- Series 7, 66 or 65/63.
- 3 years financial services industry experience.
- Proficient computer skills.
- People skills – team work, kind, and friendly.
- CFA Designation
- CFP Designation
- Investment Portfolio Construction
- Morningstar Workstation
To apply: Email a cover letter and resume to McCarthyWM@fscadvisor.com