Investment Solutions Rep
Company: Hancock Whitney Corp
Location: New Orleans
Posted on: June 12, 2021
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JOB FUNCTION / SUMMARY:
To assist brokerage clients, registered representatives, and
licensed bankers by providing timely and accurate information
necessary to open and maintain accounts and make informed
investment decisions; executes trades and account transactions in a
timely and accurate manner. This is a phone-based position that can
be based out of Denham Springs, LA or New Orleans, LA.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Provides comprehensive customer service to clients, prospects,
registered representatives and licensed bankers by assisting in
opening accounts, providing quotes, executing account transfers,
explaining features and requirements of various types of accounts
(individual, joint, custodial, corporation, partnership, trust,
estate, self-directed IRA, margin accounts, etc.), and explaining
terms relating to various investment opportunities (stocks, bonds,
mutual funds, annuities, dividends, stock splits, spin-offs, tender
- Places trades for equities, options, mutual funds, money
markets, annuities and treasury auctions, etc. online and via back
office system, and validates transactions trade details.
- Effectively manages inbound and outbound calls within call
- Assists Sales & Solutions by servicing roll over calls from
representatives and licensed bankers.
- Reviews legal documents for successions, trusts,
conservatorships, etc. for proper processing of new accounts and
- Liquidates and/or transfers securities for successions and
explains the process to clients.
- Assesses clients' investment situation and needs, referring to
other affiliates or departments as warranted.
- Stays abreast of regulatory changes and explains the impact of
the changes to clients.
- Completes all required continued education and Bank training;
FINRA, Compliance Firm Element.
- Problem Resolution: Identifies potential and existing problems,
researches causes, makes supervisor aware, and works toward
- May mentor less experienced Brokerage Reps.
- Assists HWIS Compliance in maintaining an anti-money laundering
program as required under the US Patriot Act.
- Performs other duties and special projects as assigned by
- Incumbent is required to comply with all applicable federal,
state, and local banking and industry related laws and regulations
including but not limited to the Bank Secrecy Act.
- Understands and accepts the possibility of personal liability,
including fines, imposed by a Regulatory Body in connection with
customer complaints and/or violation of Rules and Regulations.
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree required; Business, Finance, Accounting, or
related field preferred
- 3 years of related investment experience in brokerage
- FINRA series 7 license and either a series 66, or both 63 & 65
- Equivalent combination of education, training, and experience
may be considered
- Experienced level of knowledge of the brokerage industry, types
of investments, and investment terminology
- Experienced level of understanding of other bank and
affiliates' products and services
- Advanced level of knowledge of Microsoft Office products
including Word, Excel, and Outlook
- Basic knowledge of PowerPoint and Access preferred
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
- Ability to work under stress and meet deadlines
- Ability to read an interpret documents
- 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.
Keywords: Hancock Whitney Corp, New Orleans , Investment Solutions Rep, Other , New Orleans, Louisiana
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