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Financial Advisor Job Description: Top Duties and Requirements

A Financial Advisor, or Financial Planner, is someone who helps an individual budget, build, and control their money. Their duties include building a client base, maintaining relationships with clients, and monitoring the overall portfolio of a client to ensure their money is growing.

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Financial Advisor duties and responsibilities

When writing a job description for a Financial Advisor, it is important to specify the main functions of the role. Some important duties and responsibilities may include:

  • Engaging with new and existing clients on a daily basis to better understand their short- and long-term financial goals
  • Monitoring client portfolios to ensure these meet their progress and target requirements
  • Providing tax, income, and estate guidance for clients while being able to answer questions
  • Regularly attending training sessions to stay up-to-date with regulatory or industry changes
  • Assisting with marketing and communications to help grow their customer base
  • Proactively resolving or preventing banking or portfolio problems
  • Educating clients to ensure they understand how their money is being managed
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Financial Advisor Job Description Examples:

Example 1

Financial Advisor

John Daoud Financial Services inc is a full service financial planning firm that provides financial planning and investment advisory services to individuals and small to mid-sized businesses. We are a team of professionals who are dedicated to our clients and their needs. We provide our clients with personalized, professional, and affordable solutions for their financial needs.

Job Description

We are seeking a Financial Advisor to join our team of professionals. The Financial Advisor will be responsible for providing financial solutions for our clients, advising them on investment strategies, and working with their goals. The ideal candidate will have a passion for helping others, excellent interpersonal skills, strong analytical skills, and the ability to multitask effectively.

Duties & Responsibilities
Provide advice on investment strategies and other financial matters
  • Investigate client�s financial status and determine their goals
  • Recommend suitable products or services to help the client meet their goals
  • Prepare investment proposals based on the client�s goals and financial situation
  • Maintain good client relations by understanding the client�s needs, providing advice that meets or exceeds their expectations, and by building relationships that last beyond the advisor�s departure
  • Advise clients on various types of investments (e.g., stocks, bonds) as well as other financial products
  • Investigate new products or services that may meet the client�s needs
  • Manage a client�s account in accordance with company guidelines and regulations
  • Manage accounts using company tools and systems to ensure accurate account management in compliance with regulatory requirements
  • Coordinate with other professionals in order to provide clients with personalized solutions for their financial needs
  • Perform other duties as assigned by management

    Qualifications & Skills Required Qualifications:Bachelor's degree in Finance or related field; Master's degree preferred but not required.Must be able to work in office environment Monday � Friday 8:00am � 5pm.

    Job Type: Full-time

    Salary: $60,000.00-$135,000.00 per year

    Benefits:
  • Casual dress
  • Company events
  • Discounted or free food
  • Employee stock purchase plan
  • Flexible schedule
  • Life insurance
  • On-site parking
  • Profit sharing
  • Work from home
    Supplemental pay types:
  • Bonus pay
  • Commission pay



    Experience:
  • Asset Management: 2 years (required)

    Language:
  • French (required)
  • English (required)

    Ability to Commute:
  • Pointe-Claire, QC H9R 5N3 (preferred)

    Ability to Relocate:
  • Pointe-Claire, QC H9R 5N3: Relocate before starting work Location: Hybrid remote in Pointe-Claire, QC H9R 5N3

    • Example 2

    Capcorp Financial Corporation is one of Canada�s leading independent financial services companies. We help business owners maximize the value of their greatest asset � their business. Employing leading experts in the fields of retirement planning, estate planning, succession planning, charitable bequests and insurance brokering, we provide our clients with innovative tailor-made solutions that meet the demands of the ever-evolving financial world.


    Capcorp has an immediate opening for a Financial Advisor.


    We are looking for a motivated, entrepreneurial individual to work with valued clientele. The practice includes employee benefit clientele, investment management and individual insurance sales and service.


    You must be licensed to sell insurance and mutual funds in the province of Ontario. A CFP or enrolled in the CFP program would be preferred.

    If you have experience working with financial products, training as a financial advisor and understand that the client comes first we would like to meet you.

    Capcorp offers competitive compensation and benefits and an unmatched team spirit.

    Job Type: Full-time

    Benefits:
  • Company events
  • Dental care
  • Employee assistance program
  • Extended health care
  • Life insurance
  • On-site parking
  • Paid time off
  • RRSP match
  • Vision care
  • Wellness program
    Schedule:
  • Monday to Friday
    Supplemental pay types:
  • Commission pay



    Licence/Certification:
  • Life License (preferred)
  • Mutual Fund License (preferred)
  • CFP Designation Location: Hybrid remote in Ottawa, ON

    • Example 3

    We invite you to be part of a team where you can feel good about the work you do and the positive impact you have on the communities we serve in the Shuswap region. We believe in fostering a work environment that is the perfect blend of friendliness, support and professionalism, not to mention, fun!

    As a Senior Advisor at SASCU, you will build deep relationships with members, first by seeking to understand what is important to them, and then by providing customized, advice-driven solutions that will guide them on their financial journey as it relates to their overall financial picture.

    What you�ll do:

  • Advise members on a full range of deposit and investment products (including new accounts, mutual funds, registered products, and term deposits).
  • Advise members on personal and small business lending products and services (including mortgages, loans, lines of credit, credit cards, and associated insurance products).
  • Service and manage an assigned portfolio of estate accounts.
  • Identify and pursue opportunities within an assigned portfolio and through referrals, connecting members to colleagues when appropriate to ensure the members� financial needs are fully met.
  • Take a lead role in promotions and other activities to build the membership base and have a positive impact on the community.

    What you�ll bring:

  • Two years of post-secondary education or equivalent.
  • 4-6 years of progressive financial services with demonstrated sales skills.
  • Registration as a mutual funds representative, or enrollment in an applicable course upon commencement and registered within 6 months.

    You�re perfect for this role if you:

  • Have strong sales skills, effectively promoting financial products and services
  • Demonstrate strong organizational and time management skills
  • Are an excellent communicator with solid interpersonal skills and demonstrated leadership ability
  • Possess a high level of ownership, accountability, and initiative
  • Are committed to continuous learning and self-development

    We invest in our employees by offering:

  • A competitive base salary plus performance-based incentive pay, and a pension plan with SASCU matching all funds.
  • Comprehensive group benefits coverage including extended health and dental care, travel insurance, and life insurance, and an Employee and Family Assistance Program.
  • Flexible spending account for additional health and personal wellness activities and expenses.
  • Flexible work arrangements and paid time off including vacation, medical/care time, a flexible �Floater Day�, and paid community volunteering.
  • Opportunities for career growth, financial assistance for training and development, and rewards and recognition.
  • Additional benefits including waived or reduced banking fees and reduced rates on personal loans and mortgages.

    This is a full-time Monday to Friday position. It is an excellent opportunity for a community-minded individual to further their career within a successful and growing organization. If this sounds like you, let us know! To apply, please email a cover letter and r�sum� to us at [website]*.*

    Our Commitment to Diversity and Inclusion:

    SASCU is an equal opportunity employer committed to supporting Diversity and Inclusion. We recruit and select applicants for employment solely based on their qualifications, with emphasis on selecting the best-qualified person for the job. We support an inclusive environment where employees feel empowered to share their experiences, ideas, and perspectives.

    A bit about SASCU:

    SASCU Financial Group offers a broad range of personal and business financial services through SASCU Credit Union and its three lines of business: SASCU Insurance, SASCU Wealth, and Commercial banking. SASCU Credit Union branches are in Sicamous and Sorrento, plus two in Salmon Arm. Established in 1946, SASCU has more than 19,000 members, 150 staff, and $1 billion in assets. In addition, SASCU stewards $235 million in client investments and serves more than 5,000 insurance customers. Learn more at [website]

    The successful candidate will be required to meet fidelity bonding requirements, including completion of references, a criminal record check, and credit check.

    Job Types: Full-time, Permanent

    Salary: $57,400.00-$71,800.00 per year

    Benefits:
  • Company pension
  • Dental care
  • Disability insurance
  • Employee assistance program
  • Extended health care
  • Life insurance
  • On-site parking
  • Paid time off
  • Store discount
  • Tuition reimbursement
  • Vision care
  • Wellness program
    Flexible Language Requirement:
  • French not required
    Schedule:
  • Day shift
  • Monday to Friday
  • No weekends
    Supplemental pay types:
  • Bonus pay



    Ability to commute/relocate:
  • Salmon Arm, BC: reliably commute or plan to relocate before starting work (required)

    Education:
  • Secondary School (preferred)

    Experience:
  • financial services: 4 years (preferred)

    Licence/Certification:
  • mutual funds license Location: In person

    • Example 4

    We are looking for several Financial Advisors. You will be specializing in Life, Living Benefits and Health Insurance to start. The starting date for employment will commence once you have successfully completed the LLQP Harmonized Licensing Program. If you are already Licensed or have passed the LLQP Exams, your contracting can commence immediately

    What is being offered:

  • Access to online licensing program, at a discount from ISFE (If not yet licensed)

    $30,000 Annually as commission. Commencing once LLQP license is received and contract with DFSIN (Available for advisors with less than 2 yrs experience)

     Office hours Monday � Friday, 8:30am � 4:30pm (Adjustable once fully trained and productive)

  • 3 months� probation period

  • Min $5,000 annual written premiums per month. Starting in the 1st month

  • When you hit $5000 monthly target, you will be entitled to FYC (First Year Commission) on sales $5000 and above.

  • Paired with a Coach and daily activities to be completed. Will be discussed and implemented with your manager/coach

  • Performance reviewed weekly

  • Regular Product and Sales Training

  • Added incentive, pass the LLQP Harmonized Exam, obtain your Life License within 60 days of entering an agreement with Desjardins, and the candidate will be reimburse up to $750 to cover exam and Licensing fees.

  • Once licensed you will need to purchase E&O coverage and sign a contract with Desjardins Financial Security Independent Network.

    At any time can switch to commission only

    Experienced Advisors:

    Same as above

    Ability to build a team

    Ability to take over a book of business / succession planning

    *Must have your Permanent Residency Status

    A multitude of trips, incentives and rewards

    Come and Join the Desjardins Family and help make the world a better, safer place One Family at a time!

    Job Types: Full-time, Permanent

    Salary: $30,000.00-$Unliited per year

    COVID-19 considerations:
    All Covid protocols are followed

    Job Types: Full-time, Permanent

    Salary: $30,000.00-$150,000.00 per year

    Schedule:
  • 8 hour shift
  • Monday to Friday
  • Weekend availability
    Supplemental pay types:
  • Commission pay

    COVID-19 considerations:
    All Covid protocols are followed

    Licence/Certification:
  • LLQP (preferred)

    Application deadline: start date: 2022-12-09

    • Example 5

    We are a dynamic financial services organization operating out of Brantford, Ontario. This position is ideal for an energetic individual prepared to deliver exemplary service to our valued clients through a collaborative team effort.

    Key Responsibilities

  • Review client accounts, maintain account lists, and track client documentation

  • Work alongside and in collaboration with the administrative support team in various task and projects, for the benefit of the Advisors and Associate

  • Proactively communicate with clients and respond to developing needs, resolve issues or problems and following up as appropriate

  • Provides advice, guidance and education to clients in the areas of investment, retirement, taxes, insurance and estate planning

    Qualifications Required

  • Strong desire for a career within the financial services industry

  • Strong business acumen and financial industry knowledge

  • At minimum MFDA licensing is required

    Added Value

  • Extensive knowledge of current MFDA compliance standards and regulations

  • Experience with leading edge resources, e.g. CRM

  • Life license qualification program (LLQP), or willingness to obtain

  • Existing book of business

    Job Type: Full-time

    Schedule:
  • Monday to Friday
    Supplemental pay pay

    Work Location: One location

    • Example 6

    We have an opening for an Accountant/Financial Advisor position. Reporting to the owners and directors, you will be involved in the areas of accounting, financing, and tax filing.

    Responsibilities:
  • Ensure the accounting records of daily operations are up-to-date, accurate and complete
  • Must have at least 1 year of relevant work experience and/or education background in the Financial Advisory field as well.
  • Will be coordinating between home buyers and banks to ensure all sales run smoothly and in a timely manner.
  • Experience in the real estate field will also be an asset but not a requirement as we will provide training.
  • Must have great customer service skills paired with high attention to detail as you will be working with large transactions on a daily basis.
  • Process Bank, A/P and A/R reconciliations
  • Prepare financial analysis and reports
  • File tax returns such as GST, payroll remittances, and WCB
  • Manage funding accounts for investors
  • Liaise with banks for financing and managing investment portfolios
  • Assist Capital Consulting team in reviewing the financial and reporting aspects of a SPAC/IPO
  • Coordinate with Auditors for SPAC/IPO readiness
  • Other tasks as assigned by the Company

    Requirements:
  • Bachelor�s degree in accounting or related field
  • 1 to 2 years of accounting experience

    Preferred:
  • Knowledge and experience of SPAC/IPO mergers
  • Prior financial experience in managing funds
  • A CPA, CFA designation
  • Knowledge of international accounting standards, e.g., IFRS or US GAAP
  • High level of proficiency in MS Office and Sage 50
  • Excellent communicator with strong interpersonal skills
  • Ability to manage multiple tasks in the face of competing priorities
  • Speak fluently in English and Mandarin

    Job Type: Full-time

    Salary: From $4,000.00 per month

    Additional pay:
  • Bonus pay
    Benefits:
  • Extended health care
    Schedule:
  • 8 hour shift
  • Monday to Friday

    COVID-19 considerations:
    All candidates must be fully vaccinated.

    Experience:
  • accounting: 3 years (preferred)
  • financial advisory: 3 years (preferred)

    • What does a Financial Advisor do?

    A Financial Advisor uses their expertise to help build a personal financial plan for their clients. Maintaining relationships with clients is important because a Financial Advisor meets with clients on a regular basis to ensure their portfolio is meeting financial goals. The Financial Advisor is also able to adjust portfolios as goals and needs of their clients change, such as with the birth of a child or a marriage. Some of the duties performed by a Financial Advisor may include budgeting, creating tax strategies, or helping to purchase insurance products.

    Financial Advisor skills and qualifications

    A successful Financial Advisor candidate possesses various prerequisite skills and qualifications for the duties of this job, including:

    • Excellent communications skills, both written and verbal
    • Excellent digital literacy skills
    • Ability to build trust and maintain strong relationships with clients
    • Ability to work as an individual contributor and as part of the team
    • Outstanding problem-solving and analytical skills
    • Proficiency in math and financial literacy
    • Excellent time-management and planning skills

    Financial Advisor experience requirements

    When reviewing resumes for a Financial Advisor candidate, you should typically look for someone with at least two to three years of experience in the role. However, if on-the-job training is to be provided, prior experience may not be required. Ideal candidates will be familiar with accounting and bookkeeping software.

    Financial Advisor education and training requirements

    Ideal Financial Advisor candidates may have a bachelor’s degree from an accredited university. Look for an applicant who has obtained a degree in accounting, finance, business, or a related discipline. Additionally, the applicant should have obtained certification as a Certified Financial Planner in Canada. If the applicant does not have CFP (Certified Financial Planner) certification, they are expected to be working towards achieving it.

    Financial Advisor salary expectations

    According to Indeed Salaries, the average salary for a Financial Advisor in Canada is $58,052 per year. The actual salary can vary depending on many factors including experience, location, or type of company.

    Job description samples for similar positions

    If a Financial Advisor isn’t quite what you are looking for, other related job descriptions include:

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    Financial Advisor job description FAQs

    What should you look for in a Financial Advisor resume?

    When reviewing job applicants for the position of Financial Advisor, look for an individual who has experience working in the financial industry. It may also be beneficial to look for someone that has an existing client network and is a participant in various associations, hobby groups, sports teams, or charitable activities, as this shows strong teamwork and interpersonal skills. A good Financial Advisor may also have a Canadian Securities Course designation or will be working towards one.

    What qualities make a good Financial Advisor?

    Attention to detail is an important skill for any Financial Advisor to have, as they deal very regularly with numbers. It is also important for a good Financial Advisor to be personable and able to build connections quickly. Many successful Financial Advisors are also very involved in their community. Candidates should also be organized and able to oversee multiple portfolios at a time while keeping the financial needs of their clients top of mind.

    Job Description Examples

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