Finance planner jobs in Danbury, CT

FP&A Analyst Finance Full-Time (Hybrid) Norwalk, CT, US We're seeking a naturally curious FP&A Analyst who is comfortable with numbers and excited to develop foundational skills in FP&A. In this role, the candidate will have opportunities to grow, contribute to meaningful work, and gain real insight into how strategic decisions are made. FP&A sits at the center of the business, helping teams make informed decisions and ensuring consistent financial insight across the organization. This role is a great opportunity for an early-career professional who is eager to learn how a business operates and wants hands-on experience with forecasting, financial modeling, and reporting. You will join a small, supportive team that develops reporting tools, such as Power BI dashboards, to help departments across the company. In this role, you'll quickly gain exposure to commercial teams as you learn to analyze large datasets, create reports, and support key decision-making processes. PRIMARY RESPONSIBILITIES Support the reporting of financial and operating metrics (sales, margin, customer data) and help explain performance trends Assist in analyzing results against budget and identifying potential risks or opportunities Work with teams across the business to provide regular and ad hoc forecasts Help produce quarterly royalty statements for external partners Provide analytical support to Marketing, including campaign and subscription performance analysis Work closely with Finance team members on management accounts and reporting Assist with marketing-related accruals Partner with the Data team to support the development of Power BI dashboards and reporting tools Assist in preparing annual budgets, reforecasts, and long-range planning models Help translate data into meaningful insights for business partners Provide support with brand partner proposals as needed Complete ad hoc analysis and reporting assignments EDUCATION 2-4 years of experience in FP&A, Finance, or another analytical role High School Diploma (required) EXPERIENCE & KNOWLEDGE Strong Excel skills (required) Experience with financial analysis or modeling (a plus, but not required) Strong numerical skills and comfort working with data Proven track record of work ownership Detail-oriented with accountability to deadlines QUALITIES Willingness to learn complex financial concepts Curious mindset and interest in understanding how numbers connect to business performance Self-motivated with eagerness to grow Well-organized and able to manage multiple tasks Strong communication skills and ability to work collaboratively across cross-functional teams Interest in wine is a bonus-not a requirement Team-oriented approach and willingness to learn from others BENEFITS Full-time employees receive a complete benefits package, including: 401(k) with employer match Medical, Dental, and Vision benefits Company-paid Life and Disability Insurance Flexible Time Off Employee wine discounts and special offers Company-paid WSET Certification Ongoing personal and professional development OUR COMPANY Direct Wines, Inc. is a dynamic, innovative, wine-loving company that helps consumers across the U.S. discover exciting wines that are perfectly suited to their tastes - all with the convenience of home delivery. We are proud to provide a highly personalized wine service in partnership with licensed retailers Laithwaites and The Wall Street Journal - and we are passionate about consumer satisfaction. As the leading Third Party Provider in the alcohol beverage industry, Direct Wines, Inc. provides professional services to licensed wine retailers across the US. These include access to national brands, marketing planning, and execution, logistics support for distribution management and customer service. We offer scalability and economies that individual, state-licensed retailers would struggle to deliver on their own. It is also the role of Direct Wines Inc. to ensure compliance in the highly regulated alcohol beverage industry. Our Company is an equal opportunity employer committed to recognizing and expanding diversity in our work and our outreach to vendors and consumers. We prohibit discrimination against any applicant, employee or business partner based on any legally-recognized basis, including, but not limited to: race, color, religion, sex (including pregnancy, lactation, childbirth or related medical conditions), sexual orientation, gender identity, age (40 and over), national origin or ancestry, citizenship status, physical or mental disability, genetic information (including testing and characteristics), veteran status, uniformed service-member status or any other status protected by federal, state or local law.

At J.P. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting edge digital technology, you will be front and center representing our brand and interacting with our clients to offer the best investment solutions to meet their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service, operational marketing and administrative support to Private Client Advisors within Wealth Management. Job responsibilities Support Advisors book of business including but not limited to facilitating accurately and timely operational requests such as account opening, money movement and investment trades Aid the Advisors by building and maintaining client relationships through processing requests, resolving issues, and providing up-to-date information and assisting the Advisors with ongoing wealth planning for clients and referral source management and new lead generation Assist in managing relationship and account reviews, promoting firm services to deepen client relationships; prepare timely and accurate performance reports Actively engage in Risk Management; including Know Your Customer procedures, Account Reviews and Inquires Support business unit operational procedures and compliance requirements (e.g. completion of required operational forms and documentation) Prioritize daily work, track progress for current work, and consistently meet deadlines Maintain and foster team culture Required qualifications, capabilities, and skills A valid and active Series 7 license is required or may be obtained within a 120 day condition of employment If you were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam A valid and active Series 66 (63/65), and Life and Health Insurance license must be obtained within 120 days of starting in the role as a condition of employment INVESTMENT AND INSURANCE PRODUCTS ARE: • NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES • SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, N.A. are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states.

Graham Capital Management, L.P. ("Graham") is an alternative investment manager founded in 1994 by Kenneth G. Tropin. Specializing in discretionary and quantitative macro strategies, Graham is dedicated to delivering strong, uncorrelated returns across a wide range of market environments. As one of the industry's longest-standing global macro and trend-following managers, Graham remains committed to innovation, evolving its strategies through a robust investment, technology, and operational infrastructure. Graham harnesses the synergies between its discretionary and quantitative trading businesses to offer a broad suite of complementary alpha strategies, each built on the principles of thoughtful portfolio construction, active risk management, and diversification by design. Graham invests significant proprietary capital alongside its clients - including global institutions, endowments, foundations, family offices, sovereign wealth funds, investment management advisors, and qualified individual investors - reinforcing alignment of interests across all strategies. The foundation of Graham's sustainability and success is the experience and contributions of its people. The firm seeks to cultivate talent, encourage the diversity of ideas, and respect the contributions of all. In turn, each employee shares in the responsibility of strengthening those around them. Description Graham Capital Management, L.P. is seeking an seeking an Investor Services Associate to join its Investor Relations team. This individual will play a key role in supporting institutional and private wealth clients with a focus on client service and operational due diligence. This role offers the opportunity to work cross-functionally across the firm's operational teams including Business Development, Marketing, Compliance, Legal, Fund Administration, Technology, and Trading Services and is suited for candidates with excellent communication skills, sound judgement, and a strong sense of accountability. Responsibilities Support the firm's response to investor operational due diligence reviews, including completion of DDQs, custom questionnaires, and follow-up queries. Coordinate cross-functional responses and materials from internal teams (e.g., Legal, Compliance, Risk, Operations, and Technology) to ensure timely, accurate, and well-articulated deliverables. Maintain and update investor-facing documents, operational due diligence materials, and standard templates for consistency and quality. Partner with the broader Investor Relations team to help manage existing relationships and support new investor engagements. Assist with meeting preparation and follow-up, including the creation of customized materials and internal briefing memos. Manage investor information in the firm's CRM system, track diligence activities, and ensure proper documentation of client interactions. Attend and support investor meetings and calls as needed. Proactively contribute ideas and perspectives that help improve team processes, workflows, and client service capabilities. Requirements Bachelor's degree. 3-10 years of relevant experience within the alternative investments industry, ideally at a hedge fund. Familiarity with hedge fund structures, fund operations, and due diligence requirements of institutional allocators. A proactive and resourceful approach, with sound judgment and a willingness to take ownership. Collaborative mindset and eagerness to learn; thrives in a team-oriented culture that values shared success. Exceptional attention to detail and strong organizational and project management skills. Excellent written and verbal communication skills. Proficiency in Microsoft Office (Excel, Word) and experience with CRM systems. (Preferred) Prior operational due diligence or client service experience at a hedge fund. Series 3 will be required after joining. This role requires commuting into our Rowayton CT office Mondays through Fridays. Base Salary Range The anticipated base salary range for this position is $120,000 to $165,000. The anticipated range is based on information as of the time this post was generated and does not include any discretionary bonus or benefits (see eligibility below). The applicable annual salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience, skills, and qualifications. This wage range may be modified in the future. In addition, the employee who fills this role will be eligible for a discretionary annual bonus, as well as a wide array of benefit programs, such as medical and life insurance, 401(K) plans, and access to other healthcare programs. Notes: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, benefits, or any other form of compensation that a particular employee may be eligible for remains in the Company's sole discretion unless and until paid and may be modified at Graham's sole discretion, consistent with the law. Graham is committed to providing equal employment opportunity to all employees and applicants for employment without regard to their race, color, religious creed, gender, age, national origin, ancestry, alienage, citizenship status, handicap, disability, marital status, sexual orientation, gender identity, pregnancy, childbirth or other related conditions, military status, genetic information, or any other personal characteristics protected by applicable law. This policy applies to all terms and conditions of employment, including hiring, placement, promotion, layoff, termination, transfer, leave of absence and compensation.

This role is critical in managing investor contractual relationships, guiding the company's understanding of regulatory frameworks and fostering a culture of integrity and ethical practices. You'll collaborate with other attorneys in a small team, senior leadership and cross-functional teams to proactively manage legal risk and guide the company's investment-related legal efforts. Responsibilities: * Manage maintain and advise on fund offering documents, navigate and manage ongoing side letters and agreements for separately managed accounts * Advise on financial market and global trading regulatory obligations, including filings, cybersecurity requirements, and all manner of nuanced topics in the financial market space * Support the company's compliance with SEC regulatory requirements and industry best practices by working closely with the company's Chief Compliance Officer and staff * Provide guidance to Compliance, Technology, Finance, Investor Relations, and Management teams on financial and business legal risks * Monitor and interpret changes in securities laws, SEC regulations, and corporate governance trends. * Manage legal efforts to establish counterparty agreements including global clearing and ISDA agreements. * Assist with Fund board of director meetings and board governance matters. * Support other attorneys on a variety of business and technology legal responsibilities. * Support internal investigations and respond to regulatory inquiries as needed. * Help develop and maintain internal policies and procedures related to securities law compliance.

The Investment Analyst will be part of the team overseeing DB pension assets on behalf of General Electric Pension Trust. The Candidate will serve as a key member of the Absolute Return team focusing on non-directional and diversifying strategies. The Candidate will primarily be responsible for qualitative and quantitative monitoring of an existing portfolio of hedge fund investments, as well as underwriting new investment opportunities. Job Description Responsibilities * Act as a "generalist" on the team performing manager research and due diligence across a variety of hedge fund strategies. * Analyze underlying manager performance and assess performance relative to benchmarks, peers, and stated objectives. * Conduct regular one-on-one manager update meetings to monitor portfolio positioning, themes, and risk exposures. * Lead initial due diligence on potential investment opportunities and present manager recommendations. * Analyze overall portfolio performance and support prospective manager allocation changes. Qualifications/Requirements * A Bachelor's Degree or equivalent (4+) years of role related experience. * 3-5 years of manager research experience with a background in alternative investments, preferably absolute return-oriented strategies. * Strong understanding of the hedge fund industry and familiarity with various hedge fund strategies. * Experience and demonstrated ability to quantitatively evaluate investment managers. * Prioritizes attention to detail and holds strong written and verbal communication skills. * Familiarity with corporate pension investing and portable alpha investment strategies. * Ability to travel as required for initial and ongoing investment due diligence purposes. * Proficient user of eVestment, Bloomberg, FactSet, TS Venn, and Arcana. * Must be willing to work in-office in Norwalk, CT. * Preference for CFA, CAIA, and/or FRM charterholders/candidates. Additional Information GE Aerospace offers a great work environment, professional development, challenging careers, and competitive compensation. GE Aerospace is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, national or ethnic origin, sex, sexual orientation, gender identity or expression, age, disability, protected veteran status or other characteristics protected by law. GE Aerospace will only employ those who are legally authorized to work in the United States for this opening. Any offer of employment is conditioned upon the successful completion of a drug screen (as applicable). Relocation Assistance Provided: No

These are the fundamental components of the job:

INVESTOR SERVICES TEAM Analyst

Hours: 40 Pay Details: $72,280 - $108,160 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: TD Wealth Job Description: The Financial Advisor (FA) role is a three-year program with a forgivable draw, for financial advisors or planners who will be providing financial planning guidance & selling investment management solutions. A FA will need to leverage their experience to service the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection. Depth & Scope: Experience selling investments and providing financial plans Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents Ability to partner and promote lead generation Manages goals, prioritizes tasks and comfortable working in a fast paced environment Ensures all new & existing clients are provided with a planning experience Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as pro-active contacts Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client's relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed Implements and executes a differentiated service model/experience for TD Wealth clients Meets quarterly and annual sales goals Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners Executes in thorough manner that is compliant with regulations, policies and procedures Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) Ensures all Continuing Education requirements are attained Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm Represents TD Wealth to the general public in a professional manner Is involved in the community and support TDBG charity and community initiatives Education & Experience: Bachelor's degree strongly preferred 2+ years of providing advice, planning and investment sales SIE, Series 7, Series 63 required Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to achieve sales and referral goals Advanced understanding of wealth products and services Strong verbal and written communication skills Strong organizational and time management skills Ability to travel within assigned market to meet prospects, clients and partners five days a week Ability to commute within assigned territory Strong understanding of wealth management business development techniques Strong understanding and experience interacting with retail and small business banking clients Consultative sales experience required Demonstrated ability to establish relationships and partner effectively with other departments Proven ability to achieve sales goals Customer Accountabilities: Understands and supports the Bank's Customer Service Strategy Considers the impact of decisions on the well-being of TD, its Customers and stakeholders Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity Models quality service delivery at every interaction Leads and contributes to the ongoing improvement of the partner / Customer experience Employee/Team Accountabilities: Be engaged in advancing and sustaining a unique, inclusive culture that reflects TD's diversity agenda, and create an extraordinary employee experience Participates fully as a member of the team and contribute to a positive work environment May provide leadership, training, and guidance to other team members Ensures ongoing communication with the team on the status / progress of projects and issues / points of interest Actively shares information and knowledge, and proactively learn from the expertise of other OCC Language: This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA. Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel - Continuous International Travel - Never Performing sedentary work - Continuous Performing multiple tasks - Continuous Operating standard office equipment - Continuous Responding quickly to sounds - Occasional Sitting - Continuous Standing - Occasional Walking - Occasional Moving safely in confined spaces - Occasional Lifting/Carrying (under 25 lbs.) - Occasional Lifting/Carrying (over 25 lbs.) - Occasional Squatting - Occasional Bending - Occasional Kneeling - Occasional Crawling - Occasional Climbing - Never Reaching overhead - Occasional Reaching forward - Occasional Pushing - Occasional Pulling - Occasional Twisting - Occasional Concentrating for long periods of time - Continuous Applying common sense to deal with problems involving standardized situations - Continuous Reading, writing and comprehending instructions - Continuous Adding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at ***************. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Job Description These are the fun damental components of the job: Prospect, sell and develop qualified Retirement plans to corporations and cultivate individual wealth management opportunities Develop and manage relationships with plan sponsors and their employees, delivering ongoing retirement plan support and guidance Conduct regular plan reviews, including performance analysis, fee benchmarking, and fiduciary assessments; offering strategic recommendations for improvement Advise on plan design, compliance challenges, and corrective strategies (including failed testing) Review and evaluate fund line-ups and performance against benchmarks Assist with client onboarding, education sessions, and finalist presentations Collaborate with internal teams on reporting, plan operations, and participant services Serve as the primary consultant for institutional clients, providing guidance on retirement plan design, investment selection, and compliance. Stay informed about regulatory changes and industry trends to provide proactive advice. Build and maintain strong relationships with clients, ensuring a high level of satisfaction and trust. Other fun ctions of the job: Seek to cross sell business from existing Lawley divisions Expand and grow in your role when supporting miscellaneous duties as requested Skills / traits that we value for this role: 5+ years of sales and business development experience Must possess the following licenses: Series 6 and Series 65 license OR Series 7 and Series 66 license, Life and Health License; Open to continuing education Experienced in conducting group and individual employee education meetings Bachelor's Degree preferred Microsoft Office experience and skills are a must; Salesforce experience preferred Ability to work well independently and on a team Incredible attention to detail and organizational skills Positive attitude, even in a fast-paced environment A passion to make customers and coworkers feel important and valued Capability to work quickly and efficiently Methodical, yet swift decision-making skills Precise verbal and written communication skills, even under time constraints A bit about Lawley! We are not a call center environment We achieve success by building genuine relationships together, with our teams and clients We are a family owned insurance broker (70+ years!) We are deeply committed to the communities we serve and love to get involved We work hard and play hard!!! Why Lawley? Competitive salary and referral bonuses! Expansive Benefits (Medical, Dental, Vision-and SO many more) Unsupervised PTO AND a generous holiday schedule - available 1st day! Company 401K contribution received starting Day 1 (for participants 21+ years old) Educational support, career development, and growth opportunities Job Security (we've never had a lay-off, even during the pandemic) Flexibility, including hybrid schedules! Business hours 8am-4:30pm with networking/events after hours as needed. Comfortable, family-oriented culture, with an emphasis on work life balance Unlimited Volunteer Time Off opportunities (so you can assist in serving our communities) Fulfilling opportunities that align with your career path and our business needs Compensation for our production/sales positions are based on commissions. In some hiring situations, we may choose to invest and offer an interim base salary based upon an applicant's experiences, background, and potential book of business. If applicable, a reasonable estimate of the current base salary range is $84,613.20 to $141,022.00 PLUS commissions.

We are an independently owned and operated, fee-only financial advisory firm headquartered in White Plains, NY. Founded in 1993, the founder has had the privilege of helping clients navigate the journey of retirement for more than 30 years. With approximately $100M in assets under management (AUM) and 65 active households, he is looking for a Financial Advisor to expand the firm's reach to the next generation and help deepen current client relationships. The founder's mission is to deliver impactful retirement transition planning, personalized financial advice, and investment management services with thoughtful coordination of 401(k) and pension plans. We take pride in an investment philosophy that blends evidence-based equity strategies, thoughtful fixed-income management, and innovative annuity solutions to create lasting financial security. Our founder has developed a proprietary retirement income projection tool that brings it all together, helping clients see and plan for their full retirement picture. The Financial Advisor will play a pivotal role in ensuring the firm's continued growth while supporting the founder and clients. This is the firm's first advisory hire beyond the founder, a rare opportunity to work closely with and learn directly from a well-seasoned advisor. Initially, you'll focus on understanding the “what's” and “why's” of our business, our philosophies, processes, and unique approach to serving clients. From there, you'll transition into developing new assets under management through your own efforts by leveraging warm leads and untapped marketing channels. After which, while continuing to pursue AUM growth, you may advance to supervised management of a set of existing client relationships while also identifying and helping implement ideas to streamline and modernize current processes. You'll also provide supplemental advisory support to the founder's clients, helping to further deepen and expand those relationships. Your core responsibilities will be to cultivate organic AUM, oversee discovery and onboarding processes, prepare for and participate in client meetings, and manage client expectations and deliverables. You'll assist with preparing financial plans, developing investment recommendations, and researching technical questions, all while collaborating closely with the founder to deliver exceptional client outcomes. You pay great attention to detail and are an extraordinary communicator. You want to be a master of your craft, and you are the type of person who is always looking to better yourself. The successful candidate will bring enthusiasm, intellectual curiosity, and a deep commitment to serving clients. Immediate Responsibilities Expand the firm's client base by cultivating new business opportunities through prospecting, networking, referrals, and relationships with Centers of Influence Engage directly with clients and take accountability for client satisfaction and retention Retain and enhance client relationships through proactive communication and education Collaborate closely with the founder to deliver prompt, thorough, and premier client service Maintain accurate and detailed records of client/prospect interactions in the CRM system Assist with implementation of investment portfolios consistent with client objectives; help monitor and rebalance portfolios regularly to ensure continued alignment with financial goals and market conditions Future Responsibilities Incorporate various insurance strategies and solutions into long-term financial and retirement income plans where appropriate Gather data from clients and analyze their current financial situation; strategic development of comprehensive financial plans that align with their goals, recommend appropriate solutions, and assist with plan implementation Prepare agendas for client meetings, participate actively in discussions, and ensure timely completion of post-meeting follow-up and deliverables Maintain accurate and detailed records of client interactions, transactions, and financial data in the CRM system Adhere to all applicable regulations and compliance standards; remain informed of regulatory changes and ensure all documentation and procedures meet industry requirements Act as a trusted advisor addressing client needs and identifying opportunities to improve their financial well-being Qualifications Bachelor's degree, preferably in finance, financial planning, or a related field required CFP or CFA designation required 5+ years of progressive client-facing experience in investment management, wealth management, or financial planning with demonstrated ability to develop and manage plans and client relationships at many levels Knowledge of industry-specific software required; familiarity with Fidelity and Act! (CRM) is a plus Tech-savvy and highly proficient in Microsoft Office suite (Excel, Word, and PowerPoint); strong ability to learn and leverage new tools and technology quickly A genuine interest in serving and caring for clients Excellent verbal, written, presentation, listening, and interpersonal communication skills Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems Can-do attitude, enthusiastic, and a strong aptitude for learning

Becoming a financial advisor at Northwestern Mutual is a unique opportunity to start a business where you can help your clients achieve their goals through financial planning. On your path to becoming a financial advisor, you start as a financial representative focused on client-building and obtaining licenses. Our award-winning training programs equip you with the education, skill-building, and development strategies you need to be successful in building a financial planning practice that focuses on: Planning Experience · Asset & Income Protection · Education Funding · Investment & Advisory Services · Trust Services · Retirement Solutions · Business Needs Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and deliver holistic financial plans-including investments for growth, insurance for protection, and annuities for guaranteed income in retirement-that helps you have a bigger impact on your clients and community. Becoming a business owner allows you to shape your workday around your life and achieve uncapped earning potential through a performance-based compensation structure. We believe there's more than one way to start, build, and grow your practice. As an entrepreneur, you can build your business in a way that aligns with your long-term vision and goals like opening an office, joining a sophisticated team, or becoming an advanced advisor. Responsibilities As a financial advisor, you will: Grow your client base by making new connections, maintaining a strong referral network, and providing a great client experience Build personalized, holistic financial plans tailored to every client's unique needs Manage your client's financial plans to help them achieve their goals Grow relationships with clients to support them through every stage of life Training, licensing & designations Northwestern Mutual has been recognized for maintaining one of the best-trained sales forces in the country. We are committed to your continued training and development throughout your career. That starts with our award-winning curriculum designed to support your first three years in the business. In the program, you'll hear from industry experts, learn the art of client acquisition to drive longevity in the career, and have access to our national network of tenured financial advisors to learn the business through first-hand experience. To become a financial advisor, you must obtain the following licenses: Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books. Compensation & Benefits Performance-based earnings and revenue 1 : A verage advisor annual earnings of $61K-$119K (based on 2018-2023 company average for representatives in the first 3 years) Top 25% advisor annual earnings of $137K-$250K (based on 2018-2023 company data for top quartile advisors in the first 3 years) Additional income structure to support training and early development Renewal income earned for continued client support and policy management Bonus programs and expense allowances Support for insurance licensing, Securities Industry Essentials , Series 6, Series 7, Series 63, and more Certified Financial Planner licensing support 2 Fully company-funded retirement package and pension plan Competitive and comprehensive medical, vision, and dental plans Life Insurance and Disability Income Insurance Parental benefits at every stage of family planning #LI-Onsite Qualifications You could be right for this opportunity if you have: Bachelor's degree Entrepreneurial ambitions to be a business owner History of success in relationship-building or client-facing roles Excellent time-management skills Desire for continuous learning and collaboration Proficient critical thinking skills Strong communicator Strong sense of motivation and drive Legal authorization to work in the US without sponsorship Our Financial Advisors are valued partners and proud business owners. As such, they are considered independent contractors 3 for income tax purposes, and a statutory employee for Federal Insurance Contributions Act (FICA) tax purposes. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI. *Individuals are required to have a minimum of three years of service at Northwestern Mutual to qualify for the designation pre-payment and reimbursement program. 1 No level of income is guaranteed. As used here, “revenue” includes exclusively First Year and Renewal Commissions, Bonuses, Northwestern Mutual Investment Services, LLC and Northwestern Mutual Wealth Management Company commissions and fees, Strategic Employee Benefits Services commissions, and Expense Allowances. Data uses average revenue from 2018-2023; included revenue was positive and not equal to 0 and earned by full time, active Financial Representatives producing for the entire year each of the years data was used. First year range is $271.73 - $2,923,976.22. Source: Northwestern Mutual, 2024 2 Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP , CERTIFIED FINANCIAL PLANNER , and CFP (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks. 3 Northwestern Mutual Financial Representatives are Independent Contractors whose income is based on production. If offered to apply for approval of a contract to become a Northwestern Mutual Financial Representative, a national criminal background check is required. Should the background check results provide information which would not allow someone to work for Northwestern Mutual, approval for contract will be withdrawn. Posted Salary Range USD $61,000.00 - USD $250,000.00 /Yr.

Job DescriptionBenefits: Bonus based on performance Competitive salary Dental insurance Health insurance Paid time off Training & development Vision insurance About Us Strategies for Wealth Management At Strategies for Wealth Management, we help clients Protect, Preserve, and Grow their wealth. Our focus is on ensuring that pre-retirees and retirees (50+) have the financial security, guaranteed income, and risk protection they need to retire with confidence. We are looking for a Financial Advisor who is passionate about retirement planning and enjoys guiding clients toward financial security. At Strategies for Wealth Management, we believe that retirement should be stress-free, simple, and secureand were committed to helping our clients achieve that every step of the way. What We Offer Medical, Dental, Vision, 401(k) Salary Plus Commission No Cold Calling or High-Pressure Sales Focus on building relationships with clients who genuinely need guidance and value a conservative approach to wealth management. Turnkey Process & Proven Strategies Leverage a structured approach that simplifies client success and builds long-term financial security. Unlimited Growth Potential Competitive base salary + performance-based incentives, with opportunities to expand your book of business in a supportive, non-sales-driven culture. Access to Top-Tier Products & Tools Work with leading insurance carriers and financial solutions to provide clients with the best possible strategies for protecting, preserving, and growing their wealth. Continuous Learning & Development Ongoing training, mentorship, and professional development to help you stay ahead in an evolving industry. What Were Looking For At Strategies for Wealth Management, we are looking for a dedicated and client-focused Financial Advisor who shares our mission to Protect, Preserve, and Grow our clients wealth. The ideal candidate will have: Experience: 2+ years in financial advising, insurance sales, or wealth protection strategies, with a focus on annuities, life insurance, and long-term care planning. Licensing: Active Life & Health Insurance License (Series 65 or CFP is a plus but not required). Client-First Mentality: A fiduciary mindset, prioritizing long-term client relationships over short-term sales. Strong Communication Skills: Ability to explain complex financial concepts in a way that is clear, simple, and relatable to pre-retirees and retirees. Passion for Retirement Planning: A deep understanding of retirement income strategies, asset protection, and risk mitigation. Self-Motivated & Results-Driven: Ability to manage client relationships independently while being an integral part of a collaborative team. Ethical & Professional Approach: High integrity, a strong work ethic, and a commitment to putting clients best interests first. Growth-Oriented Mindset: Eager to learn, adapt, and grow in an evolving industry with access to the latest tools and strategies. What Youll Do As a Financial Advisor Insurance Specialist at Strategies for Wealth Management, you will play a crucial role in helping clients Protect, Preserve, and Grow their wealth by designing insurance-based financial solutions for a secure retirement. Your responsibilities will include: Educate & Advise Clients Guide pre-retirees and retirees (50+) on insurance strategies that provide long-term financial security, including annuities, life insurance, and long-term care solutions. Develop Customized Strategies Assess clients' financial situations and create tailored plans to help them reduce market risk, secure guaranteed income, and minimize tax liabilities. Protect Retirement Savings Help clients avoid common retirement pitfalls such as outliving their savings, unexpected healthcare costs, and market downturns. Build Long-Term Relationships Act as a trusted advisor, providing ongoing guidance to ensure clients stay on track with their financial goals. Stay Informed Keep up with the latest insurance products, industry trends, and financial strategies to offer best-in-class solutions that align with clients' needs. Collaborate with Our Team Work closely with our financial planning professionals to integrate insurance solutions into comprehensive retirement plans. If you're looking for a career where you can truly help clients secure their future while growing professionally in a values-driven firm, we'd love to hear from you!

If you find yourself contemplating the meaning of your work, it may be time for a change. A job, at best, allows one to offer a service of value in return for compensation. A calling, on the other hand, is a reason to get up in the morning, to bring meaning and satisfaction to your life - and that of everyone you touch. As a Lenox Advisor, you will work directly with individuals, businesspeople, and families to help them navigate through and secure their financial future. Who we are: Lenox Advisors is a premier wealth and insurance advisory firm providing solutions for high-net-worth individuals and their families. We are professional fiduciaries with an entrepreneurial spirit. For our advisors, that means keeping our clients at the center of everything we do while also maintaining a collegial and collaborative environment in which everyone can contribute, develop relationships, and further build their business. With a national footprint, Lenox is continually looking for ambitious, experienced Financial Advisors, who will be responsible for developing new client opportunities across the wealth management spectrum including insurance, asset management, risk management, estate planning, retirement planning, children's college education, etc. You will build upon your natural abilities to connect with, educate and guide others, while honoring the values we share with you: The Lenox brand represents a caring, creative, and passionate family of professionals. It's important that your values align to ours - trust, teamwork and accountability. Make an impact on people's lives, and the communities you care for by providing paths to financial stability and peace of mind Follow a well-defined career path that integrates education with mentorship and teaming opportunities Transparency, honesty, and clarity as the fundamental ingredients of partnership A culture of innovation that embraces growth and the changes that come with it Flexibility to design the life you want, backed by the security of a large, established company like ours How will you build your practice? You will… Establish networks and cultivate referrals Develop and maintain long-term relationships with clients Provide financial solutions through fact gathering and needs analysis Broaden and deepen your skillset through ongoing professional development and joint work with fellow associates Who do you need to be? A strong relationship-builder who takes a client-first approach A proven networker and marketer (alt: “connector of people”) A dedicated worker: independent, self-motivated and goal oriented

About Us: At the Center for Wealth Preservation (CWP), we deliver more than just financial advice; we provide white glove service rooted in personalized attention, top-tier support, and a boutique approach. As a women-owned firm managing over $2.3 billion in assets under management, we combine a deep commitment to client success with modern resources and open architecture to give our advisors the freedom and flexibility they need to thrive. What Sets Us Apart: Dedicated Sales Execution Team: You'll never go it alone. Our in-house sales professionals help drive results so you can focus on what matters most - your clients. Tailored Compensation Packages: We offer customized earnings programs that align with your career goals and experience. Lead Program: Our proven systems will help you gain access to qualified leads and build your book of business faster. Accelerated Growth Program: Our Planning Associate Program empowers you to become a top-tier financial professional in just months. Unmatched Resources: Access our Financial Planning Department, expert case design team, and in-house marketing specialists to support your success. Flexibility and Freedom: Enjoy the ability to work from anywhere while building a meaningful, rewarding career. Teaming Opportunities: Collaborate with other high-performing professionals through our structured teaming model to expand your capabilities and capacity. Firm Culture: From “CWP Cares” events to ongoing development opportunities, we foster a culture of growth, inclusion, and community. Your Role: As a key member of our firm, you will: Deliver white glove service to a growing network of clients with diverse financial needs. Leverage social media, networking events, and referral systems to expand your reach. Offer a comprehensive range of financial planning services, from estate strategies to risk management and wealth accumulation. Work closely with our planning team to develop customized solutions. Obtain and maintain the necessary licenses to offer full-spectrum financial guidance. What We're Looking For: Minimum of 1+ years in financial services, insurance, or a related professional field. Confidence in handling objections and complex client discussions. Entrepreneurial mindset with a passion for growth and business development. Proven experience working with high-net-worth clients or family offices. Interest in mentorship and leadership. Strong interpersonal skills, client-first mentality, and a results-driven approach. Why Choose CWP? Backed by MassMutual and MML Investors Services, a Fortune 100 company with over 175 years of experience. Access a true open architecture platform, empowering you to recommend the best solutions for your clients. Work at a boutique-style firm with the resources and backing of an industry giant. Uncapped commission potential, bonuses, and transition support for experienced advisors. A culture that values independence, flexibility, and purpose-driven impact. Ready to Make an Impact? If you're an ambitious, service-oriented professional looking to elevate your career in financial services, we invite you to become part of a firm that prioritizes people, performance, and purpose. Join CWP - where you can build a legacy while helping others preserve theirs. Job Type: Full-time Pay: $80,000.00 - $230,981.00 per year Benefits: 401(k) 401(k) matching Dental insurance Flexible schedule Health insurance Vision insurance Supplemental Pay: Bonus opportunities Commission pay Work Location: Hybrid remote in Hauppauge, NY 11788

Financial & Wealth Advisors: Provide financial planning and investment management services to their clients. Clients include people seeking professional management of their savings in order to get better returns, plan for retirement, create passive income streams, etc.Clients include large broker-dealers, RIA Custodians, Independent RIAs, Banks, and Private Wealth Advisory firms across the U.S. Candidate Profile: Should have your own client portfolio that you manage. Minimum book of business $30-40m. Has not been recently terminated from another advisor role. Located in the United States. Is not encumbered by a non-compete or non-solicit. May be an independent looking for a better support structure. May want to work with a team that will allow for an exit strategy - a succession plan. May be a small group of advisors looking for marketing and operational support that will allow for more rapid growth. Whatever the situation, we likely can find you a home. The key is your ability to bring your existing clients with you.

We are actively looking for exceptionally talented individuals who are collaborative, confident and motivated to provide a first-class experience to clients within J.P. Morgan's U.S. Private Bank. If you have an entrepreneurial mindset and are looking to constantly challenge yourself, J.P. Morgan is the place for you. You will be working alongside a team of talented colleagues from other markets, businesses and functions to provide you with the opportunity to take your career to the next level. As an Investment Professional in the U.S. Private Bank, you will provide integral daily support to Investors in managing client relationships. Additionally, you will coordinate with a team of talented colleagues and other essential support groups, while maintaining awareness of and sensitivity to confidential nature of Private Banking clients. Job Responsibilities Consult on and execute brokerage trades, including: advising the client on trade execution, placing trades, reviewing brokerage trades - compare paper blotter to trade blotter daily, submitting cancel/corrects, making account updates Create mandates for discretionary accounts Monitor exceptions and work with Client Advisors to conduct 'what-if' scenario-based analysis. Work with Team Leader to monitor risk metrics across the team Work with Team Leader to monitor Client Advisor loadings. Submit and monitor fee schedules and billing Manage Alternatives documents, including, submission, monitoring and working with clients to complete/correct Required Qualifications, Capabilities, and Skills Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date Bachelor's Degree required One plus years of industry related experience Exceptional follow-up and follow-through skills PowerPoint and Excel expertise Preferred Qualifications, Capabilities, and Skills Familiarity with JP Morgan Private Bank systems Workstation, Connect, DDR/KYC or ability to learn proprietary software Experience and interest in financial markets and concepts Excellent interpersonal skills Self-starter, extremely organized and detail-oriented with strong commitment to accuracy

Job DescriptionAbout the Role Centurion Wealth Management is seeking an experienced Financial Advisor with an established book of business to join our firm. This is an opportunity to take your practice to the next level under our independent wealth management platform, benefiting from our resources, investment solutions, and operational support while maintaining autonomy in managing your client relationships. Key Responsibilities • Manage and grow your own book of business under the Centurion Wealth Management umbrella, delivering high-touch financial planning and investment management services. • Build and maintain strong client relationships by developing customized financial strategies tailored to their unique goals. • Provide comprehensive financial planning, including retirement, tax-efficient investing, estate planning, and risk management. • Leverage our advanced technology, investment platform, and research to enhance client service and portfolio management. • Identify new business opportunities through referrals, networking, and strategic partnerships. • Maintain compliance with industry regulations and firm policies while upholding the highest standards of client care. Qualifications & Skills • Experience: Minimum 5 years as a financial advisor, wealth manager, or similar role. • Book of Business: To be considered you MUST have an established client base that can transition with you and a proven track record of growth and retention. • Licensing: Series 7, Series 66 (or 65 & 63), and appropriate state insurance licenses required. CFP , CFA , or other relevant designations preferred. • Client-Centric Approach: Strong relationship management skills and a commitment to exceptional client service. • Business Development: Ability to expand your practice through referrals, marketing strategies, and professional networking. Why Join Centurion Wealth Management? • Independent Platform: Operate under the Centurion Wealth Management brand while maintaining control over your client relationships and retaining full equity in your practice. • Competitive Compensation: Attractive payout structure with transition support for your existing book. • Comprehensive Support: Access to top-tier financial planning tools, investment research, and dedicated operational support. • Scalability & Growth: Resources to help you scale your practice, acquire new clients, and enhance service offerings. If you are a seasoned financial advisor looking for a platform that values independence, offers robust resources, and supports your long-term growth, we would love to connect. Apply today to explore how Centurion Wealth Management can be the right fit for your practice. Powered by JazzHR 2n3b2rVJWP

Job DescriptionDescription: Prime Capital Financial is seeking a motivated individual looking for a long-term career with a growing company supporting our Financial Network Limited brand in Overland Park/ Kansas City, Kansas. This is a great opportunity for someone looking to start or advance their career as a financial advisor. As an Associate Financial Advisor at Prime Capital Financial, the ideal candidate will work directly with a senior advisor on our team in all aspects of the financial planning and client service process. This includes case preparation, meeting with clients, and managing financial planning software. Our firm's mission is to inspire people to achieve their life's ambitions. Each day is an opportunity to have a real impact on the lives of clients and colleagues. Prime Capital Financial is different because we believe greatness starts and ends with our people. We are proud of having created an environment where drive, enthusiasm, candor, and professionalism are encouraged, supported, and valued. Our standards are to be the very best. If you are a detail-focused, dynamic individual who thrives in a team-oriented office setting and are ready to meet the challenge of building something great, we want to hear from you. Objectives: The Associate Advisor will be an integral part of the team and work directly with a Senior Advisor to learn all aspects of investment management and financial planning processes. This includes case preparation, meeting with clients, client communication, building, implementing, and managing financial plans, making detailed notes for each client, and learning the PCIA way of onboarding prospects and servicing our clients. An Associate Financial Advisor will also be working closely with our Client Service department to learn and build an understanding of the role they have in working with clients and advisors. Our Standards: Our overall standard is "service excellence." Our goal is to provide the very best experience in service to our clients and advisors. As such, our Associate Financial Advisors must display: Professional Expertise An ability to quickly form and maintain a positive, productive relationship with advisors and their clients Strong technology skills An ability to learn the financial services industry and understand the objectives for the position Tremendous written and oral communication skills Ability to adapt quickly and positively to change in the financial services industry Superior attention to detail and follow through; accuracy is extremely important Excellent organizational and time-management skills; ability to successfully multitask and manage priorities effectively Team player and collaborator High standard of professionalism, ethics, confidentiality, and integrity Willingness to be proactive There are several key areas where Associate Advisors must demonstrate professional proficiency: Financial industry terminology and account types Salesforce data entry and management Detailed and accurate record-keeping Policy and procedures, including FINRA guidelines Google Suite and calendar management Microsoft Suite and Adobe An interest in financial services/markets and how they work Love of learning and challenges, including determination to succeed Skilled in long-term relationship-building Comfortable in your ability to think critically Curiosity and desire to ask questions and learn from the senior advisor Passion for new opportunities High attention to detail Strong work ethic Process-driven approach to preparation and follow-up Build deep, meaningful relationships with clients and develop a service model to provide solutions that support their financial goals. Follow high business and professional ethics standards and legal and regulatory requirements when serving clients and prospects and performing all work-related activities. Key Responsibilities: Preparing, presenting, and implementing customized, comprehensive financial plans and portfolios Support role before, during, and after client meetings Providing financial planning services and technical advice to clients in all areas, including investment planning, insurance planning, tax planning, retirement planning Prepare for client meetings Gather and enter client data into financial planning tools, run analyses before and after meeting Perform case analysis and develop recommendations Conduct and/or participate in client meetings to present recommendations/deliver advice Determine the client's risk tolerance Develop portfolio/robust product solution recommendations that will fit the client's risk tolerance and time frame Run illustrations and hypotheticals Develop, manage, and retain client relationships Interact with high-net-worth individuals Apply and communicate complex financial planning concepts based on the client's situation Coaching clients regarding planning options/products Directing and overseeing plan production for client planning matters Education/Experience Financial services experience (2+ years) Bachelor's Degree required Licensing required: Series 65 Life & Health Insurance preferred CFP preferred 2-3 years experience servicing wealth management clients in a client facing role Experience with financial planning software Experience solving moderately complex financial planning needs Experience with investment portfolios and client asset allocations Strong organization, prioritization, and management skills Strong mathematical and analytical skills Excellent verbal and written communication skills Benefits: Health, Dental, Vision, 401(k) Teladoc EAP Voluntary Group Life and AD&D, Aflac, and Nationwide Pet Insurance Prime Capital Investment Advisors (“PCIA”) Prime Capital Investment Advisors provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth Management brand. Through its Qualified Plan Advisors brand, the firm also provides retirement plan advisory services, as well as plan participant education. PCIA currently has 70+ locations throughout the United States, with over 180 investment advisor representatives and 190+ associates serving clients across the nation. Advisory services offered through Prime Capital Investment Advisors, LLC. (“PCIA”) a Registered Investment Adviser. PCIA doing business as Qualified Plan Advisors (“QPA”) and Prime Capital Wealth Management (“PCWM”). For more information, visit ******************* Requirements:

Hours: 40 Pay Details: $78,520 - $117,520 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: TD Wealth Job Description: The Financial Advisor (FA) role is a three-year program with a forgivable draw, for financial advisors or planners who will be providing financial planning guidance & selling investment management solutions. A FA will need to leverage their experience to service the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection. Depth & Scope: * Experience selling investments and providing financial plans * Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth * Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents * Ability to partner and promote lead generation * Manages goals, prioritizes tasks and comfortable working in a fast paced environment * Ensures all new & existing clients are provided with a planning experience * Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as pro-active contacts * Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client's relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed * Implements and executes a differentiated service model/experience for TD Wealth clients * Meets quarterly and annual sales goals * Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience * Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners * Executes in thorough manner that is compliant with regulations, policies and procedures * Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) * Ensures all Continuing Education requirements are attained * Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures * Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures * Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed * Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team * Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff * Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm * Represents TD Wealth to the general public in a professional manner * Is involved in the community and support TDBG charity and community initiatives Education & Experience: * Bachelor's degree strongly preferred * 2+ years of providing advice, planning and investment sales * SIE, Series 7, Series 63 required * Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to achieve sales and referral goals * Advanced understanding of wealth products and services * Strong verbal and written communication skills * Strong organizational and time management skills * Ability to travel within assigned market to meet prospects, clients and partners five days a week * Ability to commute within assigned territory * Strong understanding of wealth management business development techniques * Strong understanding and experience interacting with retail and small business banking clients * Consultative sales experience required * Demonstrated ability to establish relationships and partner effectively with other departments * Proven ability to achieve sales goals Customer Accountabilities: * Understands and supports the Bank's Customer Service Strategy * Considers the impact of decisions on the well-being of TD, its Customers and stakeholders * Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity * Models quality service delivery at every interaction * Leads and contributes to the ongoing improvement of the partner / Customer experience Employee/Team Accountabilities: * Be engaged in advancing and sustaining a unique, inclusive culture that reflects TD's diversity agenda, and create an extraordinary employee experience * Participates fully as a member of the team and contribute to a positive work environment * May provide leadership, training, and guidance to other team members * Ensures ongoing communication with the team on the status / progress of projects and issues / points of interest * Actively shares information and knowledge, and proactively learn from the expertise of other OCC Language: * This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. * Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA. * Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% * Domestic Travel - Continuous * International Travel - Never * Performing sedentary work - Continuous * Performing multiple tasks - Continuous * Operating standard office equipment - Continuous * Responding quickly to sounds - Occasional * Sitting - Continuous * Standing - Occasional * Walking - Occasional * Moving safely in confined spaces - Occasional * Lifting/Carrying (under 25 lbs.) - Occasional * Lifting/Carrying (over 25 lbs.) - Occasional * Squatting - Occasional * Bending - Occasional * Kneeling - Occasional * Crawling - Occasional * Climbing - Never * Reaching overhead - Occasional * Reaching forward - Occasional * Pushing - Occasional * Pulling - Occasional * Twisting - Occasional * Concentrating for long periods of time - Continuous * Applying common sense to deal with problems involving standardized situations - Continuous * Reading, writing and comprehending instructions - Continuous * Adding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at ***************. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.