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Financial Planning Director Job Description

The Morgan Stanley Financial Planning Director position offers a unique opportunity to work in a local office directly with Financial Advisors to provide financial planning advice and analysis to the firm’s clients. This challenging role enables the Financial Planning Director to provide in-depth insight into the nuances of wealth planning and the innovative planning tools and resources that advisors utilize to deliver holistic advice to clients. As a Financial Planning Director, you will leverage your CFP or CPWA designation, as well as, relevant industry experience and expertise to assist advisors and their clients to clarify their long-term objectives and take the steps necessary to reach their goals.

Becoming a Financial Planning Director at Morgan Stanley will allow you to:

  1. Help Others Achieve Their Goals - You can help others achieve their personal and financial goals and make a difference in their lives.
  2. Develop Industry Expertise- In this role, you will continue to refine your skills and remain current with the ever changing financial services industry
  3. Build a Personally and Financially Rewarding Career – You have the potential to grow your network within Morgan Stanley and leverage your skills to promote career mobility and advancement

Job Responsibilities

  • Complete proprietary training in wealth planning disciplines, investment strategies, and product suitability
  • Demonstrate expertise in cash flow analysis, investment strategy, retirement planning, income protection, asset protection, and tax strategies
  • Collaborate effectively with local management team to prioritize financial planning engagements
  • Assist Financial Advisors with helping their clients articulate their financial goals within the context of their investment strategy
  • Facilitate business growth by driving client loyalty
  • Work closely with other solutions specialists to incorporate sophisticated solutions into the client’s financial picture
  • Drive goals based wealth management strategy with Financial Advisors and their clients
  • Deliver exemplary service and financial guidance to clients, including recommendation of suitable investments and proposed financial strategies
  • Remain current with all CFP and/or CPWA continuing education requirements
  • Comply with all regulatory requirements, including licensing and registrations.

Job Requirements
Successful candidates will be able to incorporate superior time management skills, financial planning acumen, and strong communication skills to support the firm’s clients in addressing a spectrum of financial and investment needs:

  • Holder of a bachelor’s degree and 5+ years professional experience in business development, management, sales, legal, accounting, education, military, finance or other business-related field
  • Current holder of the CFP and/or CPWA designations
  • Series 7, 66 licenses required
  • Exemplary in communication, presentation, time-management and organizational skills
  • Proficient at listening to client needs, and then be capable of skillful construction of tailored financial solutions.
  • Authorization to work in the U.S. without durational restrictions
  • Successful completion of background check and pre-employment assessments
  • Knowledge of Money Guide Pro preferred but not required


Hiring Process
Our hiring procedure is a multistep process that can take four to six weeks to complete.
Successful candidates can expect to have multiple interviews and assessments. All offers of employment are contingent on a background check.

About Us
Morgan Stanley Wealth Management, a global leader, provides access to a wide range of products and services to individuals, businesses and institutions, including brokerage and investment advisory services, financial and wealth planning, cash management and lending products and services, annuities and insurance, retirement and trust services. It is the policy of the firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), protected veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

A LifeView Financial Goal Analysis or LifeView Financial Plan (“Financial Plan”) is based on the methodology, estimates, and assumptions, as described in your report, as well as personal data provided by you. It should be considered a working document that can assist you with your objectives. Morgan Stanley Smith Barney LLC (“Morgan Stanley”) makes no guarantees as to future results or that an individual’s investment objectives will be achieved. The responsibility for implementing, monitoring and adjusting your financial goal analysis or financial plan rests with you. 

After your Financial Advisor delivers your report to you, if you so desire, your Financial Advisor can help you implement any part that you choose; however, you are not obligated to work with your Financial Advisor or Morgan Stanley. Important information about your relationship with your Financial Advisor and Morgan Stanley Smith Barney LLC when using LifeView Goal Analysis or LifeView Advisor. When your Financial Advisor prepares and delivers a Financial Goal Analysis (i.e., when using LifeView Goal Analysis), they will be acting in a brokerage capacity. When your Financial Advisor prepares a Financial Plan (i.e., when using LifeView Advisor), they will be acting in an investment advisory capacity with respect to the delivery of your Financial Plan. This Investment Advisory relationship will begin with the delivery of the Financial Plan and ends thirty days later, during which time your Financial Advisor can review the Financial Plan with you. To understand the differences between brokerage and advisory relationships, you should consult your Financial Advisor, or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at
Morgan Stanley Wealth Management is a business of Morgan Stanley Smith Barney LLC. Member SIPC
CRC 2224497 8/18



The main focus of this position is to help the advisor with all client financial planning needs including, meeting prep for plan meetings, creating/running illustrations, creating/tracking deliverables and client communications regarding the planning process.

Reports to: Advisor or AFA

Certificates, Licenses, Registrations, Designations Required: Series 7, 66(or 65 & 63) and state Life, Accident & Health; and/or any licenses currently required by Ameriprise Financial.


Financial Planning Assistance:

  • Enter and update client data into Naviplan or Money Guide Pro
  • Review and interpret financial statements sent in by clients
  • Prepare preliminary financial planning recommendations for client meetings including:
    • Retirement scenario
    • Life insurance illustrations
  • Use Data from preliminary recommendations to create presentations for meetings
  • Create a dialogue with clients during financial planning process and assist them with:
    • Questions on outside accounts and accounts held with Ameriprise
    • Money movement needs
    • Bank authorizations
  • Attend and participate in client meetings as necessary
  • Execute trades with documented direction from Advisor

Administrative Assistance:

  • Assign and delegate work and provide feedback to other planning support staff when appropriate
  • Plan and prioritize own work schedule
  • Complete miscellaneous projects in a timely manner as assigned by Advisor

Key Skills/Abilities/Knowledge/Competencies:

For success in this role, an individual must be able to preform each primary responsibility at a basic level.  The requirements listed below are representative of the knowledge, skills, and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 

Education and/or Experience:

  • Two years related experience and/or training, or equivalent combination of education and experience.
  • Continuing education – Lifelong learning is expected.
  • Required licenses

 Language Skills:

  •  Able to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations
  • Able to write reports, business correspondence, and procedure manuals
  • Able to effectively present information and respond to questions from managers, clients, customers, and the general public.
  • Excellent written and verbal communication skills are essential and mandartory

Computer Skills:

  • Able to use MS Excel, MS Word, Outlook, Adobe, MS Teams, accounting software, contact management systems, database software and other software tools as necessary.

Technical duties, tasks, and skills:

  • Able to process money Movement requests
  • Able to prepare and understand a financial plan
  • Able to navigate the Ameriprise Financial website and guide clients through the website.

Other Skills and Abilities:

  • It is essential that the Paraplanner role has a high degree of integrity, honesty, commitment and trust.  The financial health, image and goodwill of the company are highly influenced by the person holding this position.
  • The successful Paraplanner will have excellent inter and intra personal relationship skills, effective communication skills and the willingness to show empathy and understanding for various points of view.
  • Able to communicate with clients in a professional, clear and concise manner is essential.
  • The Paraplanner must exercise discretion in dealing with the personal information of clients.

Physical Demands:

This position requires the ability to handle significant levels of varied stresses, in particular mental stresses and fatigues.  This position operates in a fast paced, highly regulated and ever-changing environment.  There are no significant physical demands other than the endurance required to deal with the fast pace stresses. 

Work Environment:
The work environment is typical office work such as you would find in a bank, insurance business, accounting firm, law firm or other professional office.  There are no unusual or significant hazards and reasonable accommodations can usually be made.

Symphony Financial Planning

Career Opportunity


The Opportunity

The Paraplanner career path is for individuals who are eager to learn and grow their knowledge of financial planning and portfolio management.  For the right candidate, this position can lead to an Associate Advisor position within our expanding firm.

  • Do you derive your energy by working in a collegial and professional environment?  Do you enjoy engaging with teammates, asking questions, and thrive on feedback?
  • Are you a professional with a natural curiosity in all things related to personal finance?  Do you hold yourself to the same high standards you expect of your colleagues? 
  • Are you currently working in the Financial Industry and looking for a fee-only, financial planning-centric firm that is consistent with your values?

If so, we want to talk to you!


Firm Overview

We are a successful, growing financial planning and investment management firm located in the university town of Davis, CA, just outside of Sacramento. We provide a unique work environment for team members who value doing the right thing for our amazing clients while also balancing our personal needs outside of work.  For more information about our firm, our approach, and our services, please visit our website at



  • Embrace a “Case Manager” mindset.  Proactively identify issues and opportunities for clients and respond to service requests.
  • Leveraging your high attention to detail, prepare paper and e-forms to open and service investment accounts.
  • Maintain up to date, accurate data in our leading-edge financial planning and investment management platforms.
  • Using your people skills, pitch in with other team members to manage incoming calls when needed.
  • Produce impactful financial planning and investment management reports for Planners to present to clients.
  • Support the trading and portfolio management/rebalancing process. Prepare securities trades for review by planners.
  • Bring your best ideas and experience to constantly improve our processes, enhance client experience, and make everyone’s job more rewarding.

To apply for the position please send cover letter and resume to Matthew at

Selected candidate will be required to pass a drug test and background check.

Symphony Financial Planning is an Equal Opportunity employer.