Investment Assistant

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JOB FUNCTION / SUMMARY:

Provides support for Financial Advisors and Senior Investment Consultants (Advisors) by delivering excellent client service to Hancock Whitney Financial Consultants (HWFC) clients while contributing to the overall goals and objectives of Wealth Management. Assist Advisors with maintaining and growing client relationships and portfolios.

ESSENTIAL DUTIES & RESPONSIBILITIES:

• Assist in opening accounts, preparing for account reviews, process account maintenance
• Schedule client appointments, meetings with wholesalers, meetings with licensed bankers.
• Help train and assist licensed bankers to assist clients.
• Help uncover investment opportunities for existing and new clients.
• Effectively work with assigned territory team of licensed bankers and Financial Center managers to assist clients, track referrals, follow up with all pending business/referrals, and meet revenue goals for branches as well as monthly/annual goal for Advisors.
• Often work unsupervised, making effective use of time.
• Follow protocol for meeting clients within the assigned territory, making sure any referral received does not already belong to another Advisor.
• Often serve as primary point of contact for clients, demonstrate confidence and knowledge of the industry to cultivate clients’ trust.
• Stay abreast of and communicate changes to paperwork requirements, compliance rules, approval procedures, and business solicitation guidelines.
• Provide administrative support for Advisors as needed.
• Assist clients and advisors to purchase and sell stock, mutual funds, brokerage CDs, U.S. Treasuries, and Municipal and Corporate bonds.
• Assist Advisors in executing orders, research and daily operational procedures.
• Work directly with clients opening new investment accounts and insuring documentation meets compliance requirements.
• Responsible for money transfers between Hancock Whitney Bank and Brokerage accounts
• Research account positions for clients.
• Resolve account discrepancies.
• Assist with fund and account transfers.
• Assist clients with Internet trading and viewing their accounts online.
• Provide clients with stock and fund information.
  
  

SUPERVISORY RESPONSIBILITIES:

None

MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:

• High school diploma or equivalent required; Bachelor’s degree preferred
• 2 years of related support experience; preferably in a financial institution
• A combination of education and experience/training may be considered.
• Must currently possess Life and Health Insurance License – fixed annuity and variable annuity and be in good standing.
• Must currently possess FINRA Investment License(s) – Series 7, 63, 65/66 and be in good standing.
  
  

ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:

• 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.
  
  

Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.