Broker Associate

JOB FUNCTION:

This is a salary based plus bonus sales position providing investment consultation to the public on mutual funds, variable and fixed annuities.? Communicates both verbally and in writing with other departments within and outside the division and customers on account-related matters.? Has primary customer contact on brokerage accounts under supervision of a full service stock broker.? Assists in gaining new accounts by promoting investment services to prospective customers.

REGULAR DUTIES:
Compliance with applicable regulations is the responsibility of every employee.? The incumbent is responsible for ensuring compliance with laws, regulations and rulings governing Brokerage services and the policies and procedures of the Brokerage Group of the bank as they relate to his individual job responsibilities.? An evaluation of the employee?s performance in meeting these compliance responsibilities will be included in the annual performance review.? In ensuring compliance, the incumbent is responsible for performing self-testing in his area.? The results of testwork performed will be reported quarterly.? The incumbent will monitor exceptions and work toward reducing the risks inherent in providing fiduciary services through supervision, training, system enhancements and testing.

? Assists clients in meeting their financial goals through personalized, in-depth counseling and recommendations of appropriate investments.

? Help to determine proper strategy based on anticipated needs to risk tolerance.

? Candidate is expected to proactively prospect daily by telephone and in person both bank and non-bank customers.

? Conducts regular telephone campaigns assigned by broker.

? Actively pursue referrals from branch personnel and bank offices.

? Assist in branch training on HISI & TII products.

? Supervises all aspects of handling the customer account from money and securities transfers to verify the accuracy of statements.

? Answers client questions and concerns.

? Ensure proper account documentation.

? Verify and monitor client financial condition on a continual basis.

? Keep current on markets and securities of importance to clients. Continually review research materials and financial news for areas of opportunity and concern.

? Use current information along with prior knowledge and experience to determine the most appropriate investments for each client.

? Work with officers throughout the Bank to bring the above services to our banking customers and to interest their clients in the benefits of doing business at the bank.

? Conducts investment seminars for clients and prospects.

? Participates in Brokerage Curriculum Program.

? All other job related duties as assigned by the Full Service Stock Broker.

? May be accountable for the representation of the unit/HNB at civic or other applicable organizational meetings as necessary.

Required Skills:
REQUIRED EDUCATION/EXPERIENCE:
? College Degree preferred, or equivalent years of work experience.
? 2+ years with a financial services firm.
? Prefer successful completion of formal in-depth training program from a Brokerage firm.
? Series 6 (preferably Series 7, 63, Life and Health, Variable).

REQUIRED SPECIFIC KNOWLEDGE:
? Thorough understanding of PC based word processing and spreadsheet software.
? Understanding of PC/CRT applications.
? Working knowledge of the workings of pertinent securities markets and investment vehicles, along with the experience and perspective to know how they affect the proper management of client assets.

REQUIRED SKILLS:
? Good organizational skills.
? Ability to effectively manage time.
? Independent and self motivated.
? Detail oriented.
? Excellent verbal and written communication skills.
? Excellent interpersonal skills.
? Excellent customer service skills.
? Good analytical skills.

ESSENTIAL PHYSICAL/MENTAL REQUIREMENTS:
? Ability to work under stress and meet deadlines
? Ability to operate a keyboard if necessary to perform the essential job functions.
? Ability to read and interpret a document.
? Ability to travel if necessary to perform the essential job functions.
? Ability to lift/move/carry approximately 20 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 an "undue hardship" then the employee must be accommodated; hence, omitting lifting as a physical requirement.

HOW TO APPLY:
Please visit www.capitalone.com/careers
Job Reference #15277
Location:? Shreveport, LA



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