Financial Planner

Description

Exciting opportunity to join an established wealth management team and the financial industry’s largest independent broker-dealer.  

The Financial Planner will be given an assigned territory  (Athol, Barre, Ashburnham, Winchendon, Gardner) and existing bank relationships with the goal of growing their investment business. This position includes access to industry leading technology, investment models, marketing support, and financial planning tools.

Expected pay for this role is between $50,000 to $150,000 per year.  Base pay is determined on an individualized basis and is part of the total compensation package.  

Responsibilities And Accountabilities

Performs any functions necessary, within scope of authority and expertise, to provide the highest level of service and responsiveness to employees and customers.

• The Financial Planner must be able to:
• Grow and retain investment assets and insurance products
• Recommend suitable financial products and strategies
• Grow his/her pipeline of new business opportunities
• Leverage all available resources from LPL Financial and Cornerstone Bank
• The business model includes:
• Managing a pipeline of referrals from within the financial institution and assigned market
• Establishing relationships with bank customers, colleagues, and centers of influence
• This role provides warm referrals from within the financial institution, but successful candidates must also engage in proactive prospecting efforts.
• Engaging the community to bring in new customer relationships and net-new assets

Secondary Responsibilities

The Financial Planner performs duties specific to the position and other functions as assigned.

• Attend or complete required BSA/AML training as provided
• Responsible for compliance with BSA policies and procedures including the identification and reporting of suspicious activity, and other BSA job specific duties
• Adhere to all FINRA regulations and broker-dealer compliance 

Requirements

Qualifications

• Must fit in with the social and cultural values of the institution
• Must have the relevant product knowledge and required skills to execute the LPL business model
• Must be comfortable delivering presentations to colleagues, clients, and prospects
• Must maintain knowledge of capital markets, investment products, and related services
• Must be available to travel, as needed, to assigned markets

Education/Training/Experience

• College Degree
• Minimum 5 years of financial services experience 
• FINRA Series 7, FINRA Series 66 (or Series 65 plus Series 63)
• Life Insurance
• Must continue to meet eligibility requirements for duration of employment
• Must be honest, display a strong work ethic and willingness to work independently and as part of a team