Associate Financial Advisor

Associate Financial Advisors (AFA) partner with Financial Advisors (FA) 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 gain industry experience in order to prepare for a career as a Financial Advisor.

• 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.
• Uses a consultative sales process to determine client needs, obtains commitment and proposes solutions with assistance from Financial Advisor or Regional Sales Manager as needed.
• 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.
• Completes all paperwork in accordance with compliance and company guidelines including providing prospectus if applicable.
• 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 assists and support licensed bankers in meeting their referral and investment goals by organizing call parties, client appreciation days, etc.
• Attends annual compliance continuing education meeting held by Hancock Whitney Investment Services.
• Successfully completes required continuing education in compliance with both insurance and securities regulations
• Coordinates with Financial Center Managers to increase interaction with bank clients and determine how to their investment needs
• Participates in community affairs to increase company and bank's visibility and to enhance new business opportunities.
• Contacts existing and prospective clients to assess their investment needs, acceptable risk level, develop an action plan and present solutions.
• 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.

None

• Bachelor's degree preferably in Business, Finance, Accounting or related field.
• 2+ years of related experience preferably in Brokerage/Insurance and/or Banking/Retail
• Must currently possess FINRA series 7 and series 66 license and be in good standing. A current series 63 and 65 registration can substitute for the series 66.
• Must currently possess or be able to obtain a multi-state Life and Health Insurance license within 90 days of employment
• An equivalent combination of education, training, and experience may be considered.
• Ability to interact with individuals of widely divergent lifestyles required.

• 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
• 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.