Under general supervision, the incumbent must successfully be able to advise clients in investment concepts in a bank environment. The Financial Consultant must meet production goals that are reviewed on a monthly basis. This individual must hold FINRA Series 7, 63 and state approved Life and Health Insurance licenses. 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 incumbent works with non-licensed bank associates, licensed bank associates, Branch Management and bank customers.
• Meets or exceeds production goals and recurring revenue targets.
• Attends Branch, District and Regional and Investment meetings.
• Conducts and facilitates all branch investment related advisor training for Licensed Bank Associates and Financial Representatives.
• Delivers training and assists with the development of profiling techniques and service procedures and provides mentoring/coaching to Licensed Bank Associates and Financial Representatives in the assigned Branches.
• Develops and implements strategies to prospect for new clients.
• Meets daily with existing and potential investment clients.
• Attends ongoing product training sessions.
• Maintains effective and productive working relationships with Branch personnel, Bank Management and Investment Management.
• Promotes professionalism and maintains excellent client relations at all times.
• Effectively communicates investment concepts to existing and prospective clients, as well as non-licensed and Licensed Bank Associates.
• Submits required investment paperwork, reports and/or documents within specified time frames.
• Maintains the confidentiality of sensitive information
• Accountable for all follow-up on any Missing Documentation reports.
• Adheres to all internal and external audit and compliance requirements.
• Ensures adherence by all Licensed Bank Associates and Financial Representatives in the assigned Branches.
• Follows all policies and procedures outlined in the Capital One Financial Advisors procedure Manuals.
• High school degree or equivalent
• FINRA Series 7, 63
• State-approved Life and Health Insurance licenses
• 3 years of related financial advisor experience
• 3 year financial services administration
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
No agencies please. Capital One is an equal opportunity employer committed to diversity in the workplace. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.
Primary Location United States-Texas-Austin-Austin-William Cannon Br 776 (31776)
Travel Yes, 25 % of the Time
Capital One - 17 months ago
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