Investment Solutions Rep

Company: Hancock Whitney Corp
Location: New Orleans
Posted on: June 12, 2021

Job Description:

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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:

Essential Duties:

• 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 offers, etc.).
• 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 center environment.
• 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 transactions.
• 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 resolution.

Additional Duties:

• 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 Senior Management.
• 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.

SUPERVISORY RESPONSIBILITIES:

None

MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:

• Bachelor's degree required; Business, Finance, Accounting, or related field preferred
• 3 years of related investment experience in brokerage environment
• FINRA series 7 license and either a series 66, or both 63 & 65 licenses
• 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