Regional Sales Manager - Capital One Investing

  • Company: Capital One
  • Location: Gaithersburg, Maryland
  • Posted: December 03, 2016
  • Reference ID: R15298
Montgomery-Gaithersburg (17064), United States of America, Gaithersburg, Maryland

Regional Sales Manager - Capital One Investing

 Capital One, a Fortune 500 company and one of the nation’s Top 10 banks, offers an unmatched range of financial products and services to consumers, small businesses and commercial clients. At Capital One, we dare to dream, disrupt and deliver a better way for our customers, the financial industry and for each other. By combining a strong balance sheet, resilient businesses, and a massive customer franchise, we feel that we have amazing combination to achieve our goal! Capital One has developed an exceptional work environment where people with a variety of thoughts, ideas and backgrounds are guided by our two main values, Excellence and Do the Right Thing. They come together to make Capital One a great company, as well as a fantastic place to work! 

Are you an innovative leader looking to join a financial services maverick? As a Capital One Investing (COI) Sales Manager, you will lead a team of world class financial advisors striving to provide a top notch customer experience while re-inventing the overall experience into a Hassle Free environment! COI is closely aligned with our retail branch network to consistently meet and exceed our clients’ needs - every customer, every time, every day. 


The COI Sales Manager manages a team of branch based Financial Advisors (FAs), with a focus on coaching and mentoring Financial Advisors. The Sales Manager drives breakthrough revenue in COI for the region through relationship deepening, cross-selling, client acquisition, and managing sales efforts of the Financial Advisors and Insurance Specialists aligned to a specific Local Distribution Region across the Capital One Bank Retail footprint. 

These Leaders counsel FAs on sales management, investment products, financial planning, client segmentation and client referrals, and is an advocate for financial planning and building asset based relationships with clients. 

This role is a fully licensed position, including the FINRA Series 7, 66, and 24 licenses, as well as State Approved Life and Health Licenses. This individual is a key leader and partner for the Retail team, working with a team of Financial Advisors and Insurance Specialists in a manner that is consistent with relevant regulatory guidelines, including, but not limited to, those of FINRA, the SEC and state insurance departments. 


- Leverages Financial Advisors and Insurance Specialists to ensure coordination of branch activity through one-on-one training and/or group meetings within assigned territory. 

- Executes, embraces, and leads change management strategy to implement broader product mix availability in order to meet targeted needs of mass affluent/affluent clients with emphasis on financial planning and managed money.

- Performs quarterly performance reviews of all FAs and provides constructive feedback and coaching. 

- Works closely with Recruiting to hire successful Financial Advisors to join the COI team. 

- Provides field coaching/supervising to Financial Advisors and Insurance Specialists in order to drive referrals through regional non-licensed and licensed branch employees. 

- Partners closely with Local Distribution Regional Executives, Market Sales Executives and District managers to drive overall success of the team and maintain critical partnerships with Branch partners. 

- Attends and participates in Retail, Local Distribution, and COI meetings as required. 

- Establishes and maintains productive working relationships with local retail leadership and actively participates and represents COI on key business initiatives. 

- Promotes a culture of openness and associate engagement and known in the industry for integrity to build and maintain a sales environment of top talent, including high degree of external contacts and networking partnerships, in order to have an ongoing pipeline of talent for Financial Advisor and Insurance Specialist roles. 

- Coordinates, organizes and conducts Regional licensed representative sales meetings, as well as investment and insurance product training for licensed sales representatives for increased productivity. 

- Cooperates with COI on responding to all client inquiries/complaints, and resolves clients’ issues that are elevated to the Supervisory level. 

- Earns the FINRA Series 24 and State Approved Life and Health licenses within the first 60 days of employment. 


 FINRA Series 7 license 
- FINRA Series 66 license or combined Series 63 and 65 licenses 
- At least 3 years of experience as a Financial Advisor 
- A Bachelor's Degree or Military Experience 


- FINRA Series 24 or combined FINRA Series 9 and FINRA Series 10 
- State-approved Life and Health Insurance licenses 

At this time, Capital One will not sponsor a new applicant for employment authorization for this position. 

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