Associate Financial Advisor
Company: Hancock Whitney
Posted on: August 17, 2019
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JOB FUNCTION / SUMMARY:
Associate Financial Advisor will partner with a Financial Advisor
to implement actions in client accounts in addition to doing
planning and other investment-related activities to assist the FA
with meeting and or exceeding assigned sales and referral goals.
The primary objective of the Associate Financial Advisor role is to
participate in and successfully complete the licensing process and
gain industry experience in order to prepare for a career as a
ESSENTIAL DUTIES & RESPONSIBILITIES:
* Contacts existing customers and prospects to schedule
appointments and assists customers with paperwork and account
information at their home or place of business.
* Assesses customer needs and discusses products offered by
* Makes and processes sales in the absence of the Financial
* Verifies trades and executes orders.
* Creates maintains client files and verifies all paperwork has
been properly completed for each type of account.
* Assists bank associates to increase referral opportunities.
* Attends various sales meetings and events.
* Assures all forms are available for Financial Advisor and orders
supplies as needed.
* Other duties and special projects as assigned by Senior
* 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:
* Requires a high School diploma or equivalent with 2 years of
* Prefer experience within the brokerage/insurance industry and/or
* Prefer a bachelor s degree in Business, Finance, Accounting, or
* Must have FINRA series 7 and series 66 license or be able to
obtain them within the time frame stipulated by the hiring manager.
A current series 63 and 65 registration can substitute for the
* Must be able to obtain a multi-state Life Insurance license
within 90 days of employment
* An equivalent combination of education, training, and experience
may be considered.
MINIMUM REQUIRED KNOWLEDGE:
* Ability to learn investment principles, products, and
* Basic understanding of sales techniques and cross-referral
* Basic experience with Microsoft Office products including, Word,
Excel, Access, PowerPoint, and SharePoint.
ESSENTIAL MENTAL & PHYSICAL 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
Equal Opportunity/Affirmative Action Employers. All qualified
applicants will receive consideration for employment without regard
to race, color, religious beliefs, national origin, ancestry,
citizenship, sex, gender, sexual orientation, gender identity,
marital status, age, physical or mental disability or history of
disability, genetic information, status as a protected veteran,
disabled veteran, or other protected characteristics as required by
federal, state and local laws.
Keywords: Hancock Whitney, Pensacola , Associate Financial Advisor, Accounting, Auditing , Pensacola, Florida
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