Associate Financial Advisor

Hancock Whitney Bank•Prairieville, LA

23h•Onsite

About The Position

Associate Financial Advisors (AFA) partner with Financial Advisors (FA) to implement actions in client accounts in addition to 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 gain industry experience to prepare for a career as a Financial Advisor.

Requirements

Bachelor's degree preferably in Business, Finance, Accounting or related field
2 years of related experience; brokerage, insurance, or financial services or banking preferred.
Must currently possess Life and Health Insurance license and be in good standing
Must currently possess Securities Industry Essentials (SIE), series 7 and series 66 license and be in good standing.
A current series 63 and 65 registration can substitute for the series 66
Ability to travel if required to perform the essential job functions
Ability to work under stress and meet deadlines
Ability to operate related equipment to perform the essential job functions
Ability to read and interpret a document if required to perform the essential job functions

Nice To Haves

An equivalent combination of education, training, and experience may be considered

Responsibilities

Partners with an experienced Financial Advisor to gain experience assisting clients achieve their financial goals.
Primarily assists lower tiered clients while developing skills to build a base of clients
Use a consultative sales process to determine client needs, obtain commitment and proposes solutions with assistance from Financial Advisor or Regional Sales Manager as needed
Develop individualized financial plans aligned to each client’s financial needs and objectives
Makes full disclosures required in conjunction with selling non-deposit investment products on bank premises
Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client
Ensure accurate completion of all paperwork in compliance with company guidelines, prospectus delivery obligations, and fiduciary standards
Receives trade orders and instructions for money movement and processes according to regulatory requirements
Assists Financial Advisors on training retail associates on how to increase referral opportunities.
Partners with Financial Advisors to assist and support licensed bankers by organizing financial center huddles, client appreciation days, etc.
Comply with all FINRA, broker‑dealer, and firm requirements by timely completing all applicable registrations, continuing education (CE), and compliance obligations associated with licensed roles
Participates in community affairs to increase company and bank’s visibility and to enhance new business opportunities
Routinely travels with assigned region to meet with clients at different Financial Centers and/or client’s office or other location as requested by the client