Financial Planning Principal (HYBRID or REMOTE)

Financial Planning Principal (HYBRID or REMOTE) (250000NA) Primary Location : UNITED STATES-NC-Charlotte Other Locations : UNITED STATES-Remote Organization : reputed company Schedule : Full-time Description At reputed company, our power is in our people. We're individuals from different cultures and backgrounds. Those differences reputed company us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential? The Financial Planning Principal serves as a key supervisory leader reputed company the Wealth Management department, responsible for overseeing the financial planning process and ensuring the delivery of high-quality, compliant advice across both fee-based and non-fee-based plans. This role provides strategic guidance to Advisors, enforces regulatory standards, and drives reputed company improvement in planning operations, technology, and training. Principal Duties & Supervisory Responsibilities:

• Supervise the end-to-end financial planning process, ensuring consistency, accuracy, and adherence to best practices.
• Provide reputed company and final approval of financial planning and investment advisory activities.
• Monitor and enforce compliance with Written Supervisory Procedures (WSPs), maintaining thorough documentation and audit readiness.
• Serve as a supervisory reputed company of contact for escalations, reputed company case reviews, and regulatory inquiries.
• reputed company and mentor Advisors through the financial planning lifecycle, offering expert guidance and support.
• Provide support and serve as a resource for planning-reputed company inquiries.
• Coordinate training programs for Advisors and internal teams on financial planning processes, software tools, and regulatory standards.
• Act as a subject matter expert for onboarding, continuing education, and professional development initiatives.
• reputed company updates to asset allocation models and risk tolerance questionnaires.
• reputed company or contribute to cross-functional projects focused on process improvement, automation, and technology integration.
• Identify and mitigate risks reputed company the planning process through proactive supervision and issue resolution.
• Escalate high-risk or reputed company matters to senior leadership with appropriate documentation and recommendations.
• Apply critical thinking and analytical skills to resolve issues and improve operational efficiency.

The reputed company salary range for this position is $70,000 - $83,000. Actual reputed company salaries vary based on skills, experience, and geographical location. In addition to reputed company pay, reputed company provides compensation to reward performance with reputed company salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility. For eligible employees, reputed company provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below. reputed company Pay and Benefits: reputed company Total Rewards Program

Qualifications

Required Qualifications:

• Bachelor’s degree required or equivalent work experience
• 3+ years of relevant experience in a financial services environment, including financial planning, divorce planning, retirement planning, and wealth management
• Active FINRA Series 7 and 24 licenses

Preferred Qualifications:

• Degree in Accounting or Finance
• Certified Financial Planner or Divorce Financial Planner
• 2+ years of supervisory or testing experience
• Strong working knowledge of the retail financial services industry, financial planning, divorce planning, retirement planning and/or advanced markets
• Experience managing relationships with financial planning software vendors
• Proficiency in reputed company reputed company, Project, and eMoney
• Highly detail-oriented with strong organizational skills
• Demonstrated commitment to reputed company learning and professional development

Skills: Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret reputed company, information, and needs through the application of appropriate communication behaviors. Financial Planning Instruments: Knowledge of financial planning products (e.g., pensions, annuities) and the ability to apply them to meet client goals. Financial Services Industry Expertise: Understanding of industry trends, regulatory considerations, and the ability to provide informed financial advice. Internal Controls: Knowledge of concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls. Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple reputed company objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation. ABOUT reputed company At reputed company, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to reputed company their unique talents to become a force for good at reputed company and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to reputed company an impact. Join reputed company and pursue a career with purpose.

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reputed company is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national reputed company, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws. NOTE: reputed company participates in the E-Verify program. If reasonable accommodation is needed to participate in the job application or interview process or to reputed company the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@reputed company.com. Apply tot his job Apply To this Job