Financial Planning and Investment Assoicate

Financial Planning and Investment Assoicate Middleton, WI Job Details Permanent | Full-time $60,000 - $100,000 a year 1 day ago Benefits Health savings account Health insurance Dental insurance Paid time off Parental leave Employee assistance program Vision insurance 401(k) matching Life insurance Qualifications Series 6 Investment management advisory services Research Bloomberg Financial analysis Customer inquiry handling Series 7 Analysis skills Portfolio management advisory services Attention to detail Securities Industry Essentials Retirement planning advisory services Series 63

Full Job Description Job Overview:

We are seeking a dedicated Financial Planner and Investment Associate to join our growing team. This unique role involves providing comprehensive financial planning services to Advisors and supporting investment activities to help clients achieve their financial goals. This team member will also assist with Investment Operations requests for the Network Office. The ideal candidate will possess strong analytical skills, excellent communication abilities, and a commitment to delivering exceptional client service.

Key Responsibilities:

Support a centralized planning department that provides services to multiple financial advisors in a fast‑paced environment Collaborate with advisors to determine business and portfolio needs and to promote, utilize, and reinforce the firm's planning culture. Assist in the management of client investment portfolios, ensuring alignment with financial plans. Processing proposal amendments, monitoring alerts and annual reviews in Envestnet Support financial advisors in client meetings in discussions of investment account types. Frequent interactions with clients, providing "white glove" service throughout onboarding, funding, trading, and ongoing account maintenance. Work with clients through the account opening process. Keep them informed of the processes and what to expect and timing. Preparing and sending paperwork to open investment accounts and helping maintain an efficient, organized practice so advisors can focus on building client relationships Handle client information updates, process correspondence, maintain client case files, and file performance reports, account forms, and other advisory paperwork. Create and update Advisory investment proposals and comprehensive financial plans that align with client objectives and the relevant portfolio strategy. Execute buy and sell orders in Advisory and Brokerage accounts. Assist in account rebalancing as necessary and monitor investment accounts on an ongoing basis. Respond to home office account inquiries and act as liaison between the home office, financial representatives, network office support team, and clients. Maintain an in‑depth understanding of market conditions, trends, and the overall economic outlook, and incorporate this into portfolio management and recommendations. Perform investment research and analysis to support portfolio decisions and recommendations. Run performance reports in Envestnet, Morningstar and NMCIR Be a master of our available investment software and cashiering functions to support our clients, advisors, and Investment Operations Team Assist with transfers, journals, rollover requests, distribution paperwork, cashiering and other asset movement requests, and troubleshooting money movement issues. Ensure compliance with firm and industry rules regarding investor disclosures, privacy laws, anti‑money‑laundering requirements, and anti‑fraud measures; monitor and support regulatory considerations and enhancements with home office and

TPAs Qualifications:

Financial service or insurance industry experience required SIE, Series 6 or 7, & Series 63 required Experience with Netx360/Pershing platform strongly preferred. Obtain Life and Health license within 30 days of employment Strong analytical, problem solving, written and verbal communication skills, with the ability to work well with others Ability to proactively identify what needs to be accomplished and act Ability to work both independently and with a team Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment Committed to professional growth and development, independent learner that seeks knowledge Strong analytical and problem-solving skills with the ability to interpret financial data. Excellent communication and interpersonal skills, with a client-focused approach. Proficiency in financial analysis software and tools, such as Excel, Bloomberg, or Morningstar. Familiarity with financial regulations and compliance requirements. Certification or progress toward CFP®, CFA, or similar credentials is a plus.

Pay:

$60,000.00 - $100,000.00 per year

Benefits:

401(k) matching Dental insurance Employee assistance program Health insurance Health savings account Life insurance Paid time off Parental leave Vision insurance Application Question(s): Experience with Netx360/Pershing platform/

Morningstar Experience:

Financial Planning :

1 year (Preferred)

License/Certification:

SIE, Series 6 or 7, & Series 63 (Required)

Work Location:

In person