Financial Advisor
Job Description - Financial Advisor ()
Job Description
Financial Advisor - ()
Essential Duties And Responsibilities
Minimum Required Education, Experience, Licenses And Certifications
Primary Location: United States-Louisiana-Baton Rouge-HIGHCR-Highland Crossing LA
Work Locations:
HIGHCR-Highland Crossing LA
17742 Highland
Baton Rouge 70810
Job Category: Wealth Management/Investments
Organization: Hancock Invest Serv, Inc - Corporate Operations - Wealth Management
Shift: First Shift
Job Type: Experienced
Job Level: Individual Contributor
Travel: Yes, 50 % of the Time
Estimated Salary: $20 to $28 per hour based on qualifications.
Job Description
Financial Advisor - ()
Essential Duties And Responsibilities
JOB
Summary:
Consults with clients and prospects to determine course(s) of action designed to help meet their financial and investment goals.
ESSENTIAL DUTIES &
Responsibilities:
- Identifies, contacts, and meets with prospective clients to complete a suitability review to assess financial situation, including investment goals, experience, investment time horizon, risk tolerance and liquidity needs.
- Recommends investment products and/or services to most effectively meet the needs of the client, based on information obtained.
- Informs clients of benefits and risks of various investment solutions and makes full disclosure as required in conjunction with selling non-deposit investment products.
- Provides on-going customer service and processes clients' trade orders and money transfers according to customer requests and within regulatory requirements and company policy.
- Facilitates branch referral and investment goals by organizing call parties, customer appreciation days, etc.
- Conducts annual compliance meeting with all branch associates to ensure adherence to FINRA guidelines.
- Meets with existing clients periodically to update client information and to determine needs for changes in investments or investment strategy.
- Looks for cross-referral opportunities to direct deposit, loans, trust, and insurance business to the bank and provides training to branch associates regarding referrals.
- Maintains proper SDC/SPIC signage and current brochures in assigned branches.
- Successfully completes required continuing education per insurance and securities regulations.
- Other duties and special projects as assigned by Senior Management.
- Incumbent is required to comply with all applicable federal, state, and local banking and industry related laws and regulations including but not limited to the Bank Secrecy Act.
Minimum Required Education, Experience, Licenses And Certifications
MINIMUM REQUIRED EDUCATION, EXPERIENCE, & KNOWLEDGE:
- Requires a high School diploma or equivalent with a minimum of 4 years of sales experience, including 2 years of investments sales.
- Prefer a bachelor's degree in Business, Finance, Accounting, or related field.
- A FINRA series 7 license is required.
- Must have a FINRA series 66 license or be able to obtain it within the time frame stipulated by the hiring manager. A current series 63 and 65 registration can substitute for the series 66.
- Must be able to obtain a multi-state Life Insurance license within 30 days of employment
- An equivalent combination of education, training, and experience may be considered.
- Experienced level of understanding of investment principles, products, and regulations.
- Experienced level of understanding of sales techniques and cross-referral concepts.
- Basic experience with Microsoft Office products including, Word, Excel, Access, PowerPoint, and SharePoint.
ESSENTIAL PHYSICAL & MENTAL REQUIREMENTS:
- Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an undue hardship then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Primary Location: United States-Louisiana-Baton Rouge-HIGHCR-Highland Crossing LA
Work Locations:
HIGHCR-Highland Crossing LA
17742 Highland
Baton Rouge 70810
Job Category: Wealth Management/Investments
Organization: Hancock Invest Serv, Inc - Corporate Operations - Wealth Management
Shift: First Shift
Job Type: Experienced
Job Level: Individual Contributor
Travel: Yes, 50 % of the Time
Estimated Salary: $20 to $28 per hour based on qualifications.
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