Financial Planner

Caldwell Securities Ltd. is seeking a certified Financial Planner to work at our Head Office. Reporting to Caldwell Executives, this role supports both our Clients and Investment Advisors. Caldwell Financial Planners take a big-picture view of client financial situations and develop strategies designed to help maximize client financial goals.ResponsibilitiesWork with Investment Advisors and Portfolio Managers to develop personal financial plans for clients covering cash management, finances, insurance coverage, investments, retirement and estate planningAnalyze clients' financial records, set goals and develop a financial strategyAdvise clients on implementing the financial plan to help them achieve their goalsLiaise with Accountants and Lawyers, as requiredMay help to expand business and attract new clientsIdentify clients\' life and financial goalsProvide comprehensive reviews and build long-term relationships through financial planning expertise, relationship building and ongoing servicesReport relevant analysis using results to draw conclusionsMake recommendations and continually assess the effectiveness of programs, policies and practicesContribute to team and department goals while strengthening customer service and dedicationBe knowledgeable of best practices and procedures and stay ahead of emerging trendsAcquire and apply expertise, provide mentorship, assist and provide direction to othersParticipate fully as a member of the teamSupport a positive and service-oriented work environmentEducation and ExperienceA post-secondary degree (business related diploma or degree)5-10+ years of experience as a Financial Planner providing financial advice and tailored investment solutionsThe ideal candidate will have:CIRO Registered Representative (RR) licenseGood understanding of Insurance Products (or LLQP / CLU registration)Completed the Canadian Securities Course (CSC) or CFA Level 1 (or higher)Completed the Conduct & Practices Handbook course (CPH)Completed the Wealth Management Essentials course (WME)Certified Financial Planner (CFP) designation (Note: individuals with PFP may be considered)Skills and CompetenciesPassion for financial planning and helping clients reach their financial and life goalsEntrepreneurial spirit to prospect external business development opportunitiesStrong communication skills – verbal and writtenExceptional client service and business development skillsExcellent interpersonal skillsProactive, problem solver, analyticalReliable team member with the ability to work independentlyCan-do, proactive approach to workDeep understanding of the industry, competitive landscape, economic market issues, and regulatory environmentUnderstanding of US securities, financial products and regulations is an assetAbility to work collaboratively and independentlyAbility to plan, organize, and prioritizeAbility to deliver and follow through to the end on projectsProficiency with PowerPoint, Excel, CRMs, Outlook and industry-specific software/applicationsWhat Caldwell OffersCommission and/or discretionary performance bonusesComprehensive group benefits plan including medical/dental/vision care, prescription drug plan, life insurance etc.RRSP matching programA progressive, high-performing team where results and initiative define successThe chance to lead and shape the Financial Planning function at CaldwellCaldwell is an equal opportunity employer. Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.We thank all applicants; however, only those selected for an interview will be contacted.No telephone inquiries please. #J-18808-Ljbffr