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JOB FUNCTION / SUMMARY:
Associate Financial Advisors (AFA) partner with Financial Advisors (FA) to implement actions in client accounts in addition to planning and other investment-related activities to assist the FA with meeting and or exceeding assigned sales and referral goals. The primary objective of the Associate Financial Advisor role is to gain industry experience to prepare for a career as a Financial Advisor.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Partners with an experienced Financial Advisor to gain experience assisting clients achieve their financial goals. Primarily assists lower tiered clients while developing skills to build a base of clients
- Use a consultative sales process to determine client needs, obtain commitment and proposes solutions with assistance from Financial Advisor or Regional Sales Manager as needed
- Develop individualized financial plans aligned to each client’s financial needs and objectives
- Makes full disclosures required in conjunction with selling non-deposit investment products on bank premises
- Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client
- Ensure accurate completion of all paperwork in compliance with company guidelines, prospectus delivery obligations, and fiduciary standards
- Receives trade orders and instructions for money movement and processes according to regulatory requirements
- Assists Financial Advisors on training retail associates on how to increase referral opportunities.
- Partners with Financial Advisors to assist and support licensed bankers by organizing financial center huddles, client appreciation days, etc.
- Comply with all FINRA, broker‑dealer, and firm requirements by timely completing all applicable registrations, continuing education (CE), and compliance obligations associated with licensed roles
- Participates in community affairs to increase company and bank’s visibility and to enhance new business opportunities
- Routinely travels with assigned region to meet with clients at different Financial Centers and/or client’s office or other location as requested by the client
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree preferably in Business, Finance, Accounting or related field
- 2 years of related experience; brokerage, insurance, or financial services or banking preferred. An equivalent combination of education, training, and experience may be considered
- Must currently possess Life and Health Insurance license and be in good standing
- Must currently possess Securities Industry Essentials (SIE), series 7 and series 66 license and be in good standing. A current series 63 and 65 registration can substitute for the series 66
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.
Skills Required
- Bachelor's degree, preferably in Business, Finance, Accounting, or a related field
- Two years of related experience; brokerage, insurance, financial services, or banking experience preferred
- Current Life and Health Insurance license in good standing
- Current Securities Industry Essentials license in good standing
- Current Series 7 license in good standing
- Current Series 66 license in good standing, or current Series 63 and Series 65 registrations as a substitute
Hancock Whitney Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Hancock Whitney and has not been reviewed or approved by Hancock Whitney.
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Healthcare Strength — Core coverage includes medical, dental, vision, telehealth, and FSAs, with options such as a PPO and a CDHP. The CDHP includes company HSA contributions, and multiple comments characterize medical coverage as good or worth the premium.
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Retirement Support — A 401(k) offers a company match plus an additional employer contribution, with a true-up and an ESPP available. This structure is presented as competitive for a regional bank.
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Leave & Time Off Breadth — Time away includes vacation, sick leave, volunteer time, and bonding leave for birth/adoption/foster placement. The program outlines 11 paid holidays and front-loaded sick time, with vacation accruals that increase by role/tenure.
Hancock Whitney Insights
What We Do
We create opportunities for our clients and the communities we serve. We offer a wide array of banking and financial services at locations in Alabama, Florida, Louisiana, Mississippi and Texas. Through a steadfast commitment to our century-old core values we’ve created a company culture built around respect, diversity and teamwork that recently landed Hancock Whitney on Forbes’ list of America’s Best Midsize Employers. Our core values are lived out by the actions of our associates throughout our footprint. Commitment to service is not just something that we say on a poster. Its lived out in the actions of the women and men that seek to provide exceptional service every day in our local communities.
