Senior Financial Advisor III Rockville Maryland

Job Title
Senior Financial Advisor III Rockville Maryland

Job Description
Capital One is a diversified bank that offers a broad array of financial products and services to consumers, small business and commercial clients. Capital One is one of the nation’s top 10 banks and has one of the most widely recognized brands in America. We nurture a work environment where people with a variety of thoughts, ideas and backgrounds, guided by our shared Values, come together to make Capital One a great company and a great place to work.

Every choice we make at Capital One® is guided by our values:
- Excellence—defines the way we perform as individuals, teams, and an organization.
- Do the Right Thing—describes how we interact with each other and our customers.
Our values serve as the cornerstone of our culture and guide how our associates interact with each other and our customers. Our values set Capital One apart from other companies and serve as a measure of our success.

At Capital One, we don’t hire people for positions—we hire people to build evolving, fulfilling careers.

Our Financial Advisors partner with other banking associates to further deepen relationships with our existing customers, as well as prospect new clients. We offer a one-stop shop to help customers meet their financial needs and goals by offering banking, insurance and investment solutions. Capital One offers the ability to earn generous commissions with the stability of a set base salary. We are looking for fully licensed individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved Life and Health Insurance licenses. Your ability to achieve success as a Capital One Financial Advisor is supported by the Capital One brand, strong leadership, branch partners, and the availability to obtain continuous training. Join us and collaborate with other creative and goal-oriented team members in an environment where you can achieve your full potential.

- Actively develops and implements strategies to prospect for new clients and further deepens current client relationships.
- Effectively utilizes the Book of Business tool provided by assigned branches, and builds upon the network of other internal resources.
- Meets daily with existing and potential clients to assess their investment and insurance needs, and recommends customized solutions to help clients achieve their financial goals.
- Effectively communicates investment concepts to existing and prospective clients, taking into account each client’s objectives, risk profile, time horizon and investment preferences.
- Meets or exceeds production goals and recurring revenue targets.
- Seeks the expertise of Banking and Insurance specialists when needed.
- Assists with the development of client profiling techniques and service procedures through mentorship and coaching to Financial Advisor I and II associates and Licensed Bank Associates in the assigned Branches.
- Conducts and facilitates all branch investment related advisor training for Licensed Bank Associates and Financial Advisors I and II.
- Attends ongoing product training sessions, as well as Branch, District and Regional and Investment meetings.
- Maintains effective and productive working relationships with Branch personnel, Bank Management and Investment Management partners to maintain a team environment.
- Promotes professionalism and maintains excellent client relations at all times.
- Maintains the confidentiality of sensitive information and is accountable for all follow-up on any Missing Documentation reports.
- Submits required investment paperwork, reports and/or documents within specified time frames.
- Adheres to all internal and external audit and compliance requirements and ensures adherence by all Licensed Bank Associates and Financial Representatives in the assigned Branches.
- Completes required continuing education requirements.
- Follows all policies and procedures outlined in the Capital One Financial Advisors procedure manuals.
- Performs any other related duties as assigned.
Basic Qualifications:
- FINRA Series 7
- FINRA Series 63 (If required by State)
- FINRA Series 65/66 licenses
- High School Diploma, GED, Equivalent Certification, or military experience

Preferred Qualifications:
- State-approved Life and Health Insurance licenses
- At least 5 years of financial advisor experience
- At least 3 years of financial services administration
Fingerprinting required based on SEC Regulations for this position upon the first day of employment.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

No agencies please.

Capital One is an equal opportunity employer committed to diversity in the workplace. Capital One promotes a drug-free workplace.

All qualified applicants will receive consideration for employment without regard to sex, race, color, religion, national origin, protected veteran status, or disability status.
Click here to apply!

Desired Skills and Expertise
High School or equivalent


2 - 5 years

Job Type
Full Time

Salary / package
Not Specified

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