Financial Advisor Associate - New Orleans
Under supervision, the Financial Advisor Associate must successfully support Financial Advisor IIs and Financial Advisor IIIs as they advise clients in investment concepts in a bank environment. The Financial Advisor Associate will aid FAIIIs and FAIIs as they prepare for client meetings, assist with the identification of potential clients, and learn about product offerings and the Capital One Investing Sales Process. The position requires a person who is diligent and consistent with relevant regulatory guidelines, including but not limited to those of FINRA, the SEC and state insurance departments. The position requires a person who is highly motivated and client-focused. The Financial Advisor Associate works with non-licensed bank associates, licensed bank associates, Branch Management and bank clients.
This individual must attain Series 7, 63/65 or 66, and state-approved Life and Health Insurance licenses within 1 year of entering into the role.
Provide Effective Sales Support
• Proactively call clients to deepen business relationships and identify potential opportunities
• Proactively call prospects to schedule appointments with the Financial Advisor IIIs and/or Financial Advisor IIs.
• Research information for client and prospect meetings. Prepare prospect and client correspondence.
• Meet with bankers at minimum weekly to review/plan/prioritize activities.
Ensure Outstanding Client Service
• Collaborate with branch associates, Financial Advisor IIIs, Financial Advisor IIs, Sales Assistants, Customer Advocacy Team, National Advice Center and other internal partners to ensure that the highest quality customer service is provided and that client issues/requests are resolved accurately and timely. Escalate issues as needed
• Educate clients on alternate servicing channels and solutions
• Proactively call clients for service check-ins.
Maintain Portfolio Management/Data Integrity
• Assist Financial Advisor IIIs and Financial Advisor IIs in pipeline maintenance
• Maintain data integrity to include bank systems, client assignments, relationships, and Salesforce.com
• Fulfill other ad hoc projects/support activities as determined by team
Maintain a standard of Compliance/Operations Excellence
• Adhere to all bank policies and procedures.
• Adhere to all FINRA policies and procedures.
• Acts as operational champion and resource within team
• Complete all compliance training in a timely manner.
• Pass all field audits, reviews, etc.
-High School Diploma, GED, Equivalent Certification, or military experience
- 1 year of Banking Experience
- 1 year of Sales Experience
- Bachelor’s degree
- FINRA Series 6
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.