This job has expired, please see additional jobs below
Manager
Hancock Holding Company
New Orleans, LA, United States
Job Details - this job has expired, please see similar jobs below
Job Summary / Function:
The Manager of Hancock Whitney Investments Advisory Platform is responsible for the operational management of the HWIS Advisory Platform by ensuring compliance with firm and regulatory requirements for managed accounts.
Essential Duties and Responsibilities:
• Approves new advisory accounts
• Assists and Trains new advisors on creating and managing client portfolios
• Manages the products offered including both model management and ongoing maintenance of the approved products list.
• Monitors trade and billing discrepancies
• Monitors annual account reviews
• Maintains form ADV Parts 1, 2A and 2B
• Creates exception reports related to fee/advisory accounts
• Monitors account activity to ensure investments meet the best interest standard
• Assist the CCO with the annual review of the advisory program
Minimum Required Education, Experience and Knowledge:
• BS/BA in Accounting or Finance required.
• MBA Preferred
• Five (5) years of experience in Compliance or Operations with a registered Investment Adviser and/or a Broker/Dealer
• Prior management experience preferred
• Series 7, 24 and 65 or 66 licenses required
• Prior knowledge managing an Advisory platform at a Bank, Broker Dealer or Investment Adviser is required. Past knowledge should include the management of advisory programs/models, fee billing, and compliance.
• Past experience with Asset Allocation Models and Wrap Fee Programs is preferred.
• Candidate should also have a good understanding of the SEC requirements set forth in the Investment Advisers Act of 1940 including the maintenance of Forms ADV Parts 1, 2A and 2B.
Essential Mental and Physical Requirements:
• 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 travel 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.