Sr. Financial Consultant - SW Brooklyn/Bay Ridge
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 65/66 as well as 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 Financial Consultant I associates, 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.
• Performs any other related duties as assigned.