REGIONAL SALES DIRECTOR

Company:	Capital One Company Profile \| Current Opportunities (256)
Job Location(s):	McLean
Employment Term:	Regular
Employment Type	Full Time
Start Date:	As soon as possible
Starting Salary Range:	Not Provided
Required Education:	Associate Degree
Required Experience:	Open
Related Categories:	Banking - Management, Sales - Management, Finance - Advisor/Services

Position Description

Summary:
Manages a designated region of Capital One financial advisors, a wholly owned subsidiary of Capital One, n.a., which engages in providing brokerage and insurance services. Duties include development and execution of profit and strategic plans, sales, marketing plan, manages the supervision of retail brokerage sales, institutional brokerage sales, international brokerage sales, investment advisor sales, discount brokerage sales, retail annuity (lba program) sales and procedure development and implementation.

Responsibilities:
Manages all daily sales activities of COFA in area of responsibility.
Acts as a regional contact with correspondent relationships.
Responsible for ensuring that the proper reviews and approvals are conducted on all new account openings and daily trades.
Recommends additions and/or changes to policies and procedures affecting associates in designated area.
Continuously monitors the transaction workflow to ensure compliance with FINRA regulations.
Ensures that maximum operating efficiency and customer satisfaction in compliance with governing instruments, applicable laws and government regulations.
Assists in formulating company profit plan and monitors the monthly performance.
Participates in the development of new products.
Coordinates business development with Retail, Private Banking, Small Business Banking, Commercial and International segments within area of responsibility.
Responsible for maintaining the workflow/scheduling, employee counseling and performance problems/resolutions, preparation of the annual employee review(s), determine and fulfilling training needs, interviewing and recommending new hires, promotions, demotions, terminations and salary adjustments.
Responsible for managing sales force to achieve revenue goals to meet and/or exceed plan.
Responsible for increasing the managed account and fee based business within area of responsibility.
Responsible for managing expenses to maximize net income.
Responsible for licensing and supervision of Capital One Bank associates who participate in Licensed Bank Associate program.
Responsible for management of the Investment Advisors working with high net worth and affluent bank customers within area of responsibility.
Supervision of insurance agents selling products through Capital One Agency Corp to ensure compliance with State, FINRA and other regulatory agencies.
Responsible for identifying and referring all customer complaints, arbitration and other disputes between customers and COFA.

Basic Qualifications:
College degree or equivalent work experience.
7 years management experience in a brokerage organization. 3 years experience in a sales managment role.

The following licenses are required:
Series 63 State of Blue Sky License
Series 7 General Securities License
Series 24 General Principals License Active LIfe Insurance Health License
The following licenses are preferred:
Series 27 Financial Operations Principal License
Series 4 Options Principal License
Series 53 Municipal Principal License

Strong, well-developed interpersonal skills. Develops and maintains working relationships with branch personnel and all levels of Bank and Investment Mgnt.
Ability to manage a sales force in accordance with established standards.
Desire to learn new management techniques.
A thorough knowledge of traditional bank products.
Ability to effectively manage assignments so that they are completed accurately and in a timely manner.
Excellent verbal and written communication skills.
Excellent time management skills.
Ability to resolve customer complaints in an effective and timely manner.
Ability to maintain the confidentiality of sensitive information and interact effectively with all levels of management.

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. We promote a drug-free work environment. We emphasize recruiting, hiring, and retaining the most qualified candidates and providing them with the opportunity to meet their potential. We provide an environment where differences lead to solutions.

Basic Qualifications:
College degree or equivalent work experience.
7 years management experience in a brokerage organization. 3 years experience in a sales managment role.

The following licenses are required:
Series 63 State of Blue Sky License
Series 7 General Securities License
Series 24 General Principals License Active LIfe Insurance Health License

Other desired skills:
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