hire the best toolkit - avantax · 19 . *building highly effective teams – recruiting, coaching...

HIRE THE BEST TOOLKIT

For Advisor Use Only

Table of Contents

Sample Job Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Sample Resumé Screening Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Sample Phone Interview Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Sample Rejection Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Sample Competency Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Sample Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Sample Interview Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Sample Offer Letter Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Sample Reference Check Procedure Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Sample New Team Member Announcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Sample New Hire Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Table of ContentsFor Advisor Use Only 2

Job Description Sample

Job Title: Financial Sales Assistant

Objective:

This position performs moderately complex administrative and client services tasks for the business owner.

Key Tasks/Duties:

Duties include but are not limited to the following: Greeting visitors; screening and/or selectively referring callers; supporting clients by providing services in account management and technical support; creating marketing pieces and coordinating compliance approval as well as implementing marketing plans; maintaining client databases and compiling information to prepare reports using appropriate software; and performing special projects as requested.

Minimum Qualifications:

• 2 years related experience (administrative, customer service, marketing) or equivalent education

• Microsoft Office

Competencies:

• Communication

• Customer Centric

• Initiative

• Work Quality

• Relationship Building

• Learning & Understanding the Business

Starting Pay Range:

$28,000 to $44,500 (The starting pay will depend on the geographic area, mix of duties and candidate’s experience. Contact your Human Resources Support at [email protected] to determine a more exact recommendation.)


Resumé Screening Checklist

Name:

Position:

Notes:

Check each box to indicate candidate meets the following requirements:

Proper grammar and correct spelling

Professional tone and organization of information

Past experience consistent with job requirements

Increasing responsibility over time/consistent career growth

Education, licensing, experience fits qualifications required

Circle potential resumé “red flags”:

Gaps in employment

Frequent job changes

Experience that seemingly makes candidate overqualified

Vague job descriptions

Non-action words like “studied…”

Strong emphasis on education when not a recent graduate

Over-selling tone of resumé

Dates of employment not specific

Questions for candidate resulting from resumé screen:


Phone Interview Checklist

Name:

Position:

Notes:

Prior to the call:

Resumé reviewed using the Resumé Screening Checklist

Appointment set with candidate

Items to discuss with candidate:

Introduce yourself, position and company.

Ask if this is a good time to talk for 20 minutes or re-schedule.

Brief description of job opening

Ask if candidate is still interesting in the position.

Questions for the candidate:

1. How did you hear about our opening?

2. Why are you interested in our position?

3. What are your qualifications for this position?

4. Tell me about your current (past) position?


Phone Interview Checklist (cont.)5. Why did you leave? Why do you want to leave?

6. What are your salary requirements?

Ending the phone interview:

Ask any questions that you had written on their Resumé Screening Checklist that have not yet been addressed.

Ask the candidate if he/she has any question for you.

Let the candidate know that you will be conducting phone interviews over the next weeks and that the top candidates will be invited in for an in-person interview.

Let the person know when they should expect to hear back from you.

Thank the candidate for his/her time.

Sample Rejection Letter/Email

Date

Name

Address Line 1

Address Line 2

Dear (First Name):

Thank you for your interest in the (job title) position with (your firm’s name).

The selection process was a difficult one. After careful consideration of your background and experience, we have chosen a candidate that more closely resembles the requirements of the open position.

Again, we appreciate your interest in (your firm’s name) and we want to extend our best wishes for success in attaining your career goals.

Sincerely,

Your Name Your Title


Competency Definitions

1 . Attention to Detail – Accomplishing tasks by being mindful of all aspects of the job by following established procedures, ensuring errors are avoided and correcting problems.

2 . Building Trust & Integrity – Interacting with others in a way that gives them confidence in one’s intentions by demonstrating ethics and integrity.

3 . Capitalizing on Opportunities – Recognizing sales and service opportunities to strengthen client relationships; asking questions to uncover the client’s present and future financial goals.

4 . Client Centric – Making clients and their needs a primary focus of one’s actions; developing and sustaining productive client relationships by exceeding their expectations every time.

5 . Communication – Exchanging information by effectively organizing the message being delivered, maintaining the listeners’ attention, adjusting the message to the audience, using accepted grammar and sentence structure and effectively listening to others and responding appropriately with nonverbal messages.

6 . Critical Thinking – Identifying and analyzing issues, problems or opportunities in order to make effective decisions.

7 . Flexibility – Demonstrating adaptability in approach when working with all types of people; maintaining effectiveness when experiencing major changes in work tasks or the work environment.

8 . Initiative – Taking action to achieve results or accomplish goals beyond what is required; being proactive.

9 . Inventiveness – Coming up with new and unique ideas; connecting previously unrelated concepts.

10 . Judgment – Using effective approaches for choosing a course of action and then taking action based on the available facts and probable outcomes.

11 . Learning & Understanding the Business - Takes the necessary steps to learn the processes and systems to get things done; stays informed of what is going on in the organization to help make decisions.

12 . Persistence – The drive to figure things out; staying with an action plan until the goal is achieved or is no longer possible.

13 . Persuasiveness – Using effective interpersonal approaches and communication styles to influence others to accept an idea, product or service.

14 . Positive Nature – Maintaining a high level of energy and a positive outlook while dealing with stressful situations and difficult people.

15 . Relationship Building – Working effectively and cooperatively with others; listening, understanding, responding and building positive working relationships.

16 . Teamwork – Participating as an effective member of a team to move the group forward toward accomplishing goals; appropriately involves other people on the team, shares important information and is personally committed to the team.

17 . Technical Knowledge – Having obtained the necessary technical knowledge and skills in area of expertise related to one’s job.

18 . Work Quality – Setting high standards of performance; can be counted on to drive for outstanding results.


Competency Definitions (cont.)

19 . *Building Highly Effective Teams – Recruiting, coaching and accelerating the development of people; approaching performance management as an ongoing, daily process that includes goal setting, coaching and feedback, developmental opportunities, and reward and recognition.

20 . *Change Management – Helping others overcome the complexities that occur as a result of changes made in the workplace; trying to minimize the impact, making the process easier for others to accept change.

21 . *Creating Strategic Objectives – Viewing issues from a broad perspective; identifying key issues and relationships that are critical to achieving a compelling vision for the organization.

22 . *Organizational Structure – Ensuring proper work processes and infrastructures are in place and that the appropriate resources are used effectively in support of the organization’s plans and strategies.

*Typically management competencies


Sample Application

Employment Application Please read this application before you sign it .

To Applicant: Thank you for your interest in (Insert your company name here). We would like to review your qualifications for our current open positions. To make this the best possible match between your past experience and our job requirements, we need to clearly understand your background.

Instructions Please fill in all blanks carefully and completely. Please print and use ink. You must sign the bottom of the “Additional Information” section.

Work Preference

Specific position applying for: Monthly (hourly) compensation desired (US $:)

Date:

Employment Category Schedule Preference:

Schedule Preferences: Email Address:

Full-time Part-time Weekdays Weekends Both

Personal Data

Name: (Last, First, M.I.) Current Address: (number, street & apartment) City, State, Zip

Social Security Number: Phone Number(s) Home, Business, Other:


1 . Are you 18 years of age or older? Yes No If you are not 18 years of age, the state in which you work may require you to furnish documents authorizing you to work.

2 . Can you, upon employment, provide documented proof establishing your identity and eligibility to work in the United States? Yes No All new hires must provide proof of identity and employment eligibility upon hire in accordance with the Immigration Reform and Control Act of 1986.

3 . Have you ever been involuntarily discharged or asked to resign from a position? Yes No If yes, please explain below.

4 . Do you have another job that you would like to keep if you become employed by (Insert your company name here)? Yes No All employment must be disclosed and approved by your manager if you wish to continue in that position after becoming employed by (Insert your company name here). If yes, company name Type of business: Position held:


Background Data(Insert your company name here) functions in a position of public trust and provides products and services that subject it to federal securities laws. These laws require that certain persons employed in the securities industry be fingerprinted for the purposes of a criminal background check.

Therefore (Insert your company name here) will conduct an investigation regarding criminal records. Depending on the position that you are applying for, this investigation may include fingerprinting. For certain jobs, background investigations, which include contacting former employers and/or conducting a credit check, may be completed. Evidence of a conviction on your record will not necessarily bar employment.

1. Have you ever been convicted* of any crime involving dishonesty or breach of trust such as theft or falsification? If yes, or if you are unsure whether the crime involved dishonesty or breach of trust, please explain. Yes No

2. Have you been convicted* of any felony or misdemeanor within the past 10 years? Yes No If yes, please explain.

* For crimes involving dishonesty or breach of trust, “convicted” includes a plea of guilty, nolo contendre, no contest, or similar plea, participation in a pre-trial diversion or deferred entry of judgment program even if the program was completed and charges were dismissed, bail forfeiture, or verdict or finding of guilt. You may omit juvenile court convictions and completely expunged convictions. For all other crimes, the definition of “convicted” is the same, except it does not include participation in a pre-trial diversion or deferred entry of judgment program if charges were ultimately dismissed.

(Insert your company name here) is an equal opportunity employer (M/F/D/V) .


Employment Data

Please fill out this section completely and do not indicate “refer to resumé”. List all current and former employers for the last 10 years, beginning with the most recent employer. Include military service and self-employment.

Resumés are accepted as supplemental information. If additional Information is attached please check here.

Are you currently employed? Yes No If yes, may we contact your current employer? Yes No

1 . Present employer Phone number ( ) -

Address City, State (Abbr.) Zip

Job Title Full-Name While Employed (if different) Dates of Employment (MO &YR)

Job Duties

Monthly/Hourly Compensation Weekly Scheduled Hours

Did you voluntarily terminate your employment? Yes No Please explain your reason for leaving below.

Immediate Supervisor Phone Number ( ) -


2 . Previous employer Phone number ( ) -



Job Duties




3 . Previous employer Phone number ( ) -



Job Duties





4. Other Employers:

5. Other Employers:

6. Other Employers:

Educational BackgroundSchool(s) attended Year(s) completed Degree received

1 2 3 4

School(s) attended Year(s) completed Degree received

1 2 3 4

List special licenses, certifications (for example, CPA or series 7).

List specific knowledge/skills

List other skills that you feel would be useful in the position for which you are applying (for example, second language).

Referral Information

Where did you hear about this job? (Check one and indicate the name below).

Business Referral (customer) Internet/Monster.com

State Employment Division Print Advertisement College Source

Employment Agency Professional Event/Job Fair

Community Organization Walk-in

Former Employee Other Source (please list publication, organization, etc.) Employee Referral — Name of Employee ____________________________________________

_________________________________


Additional Information

Please read the following statements and ask for clarification, if needed, before you sign this section . I clarify that all my answers on this application are true and complete. I understand that the falsification, omission or misrepresentation of fact on this application (or any other accompanying or required documents) may be cause for denial of employment or immediate termination of employment if hired, regardless of when or how discovered. I also authorize the investigation and verification of all statements and information contained in this application. I release from all liability anyone supplying such information and I also release (Insert your company name here) from all liability that might result from conducting an investigation.

If I am hired by (Insert your company name here) I understand and agree that:

Employment and compensation can be terminated for any reason with or without cause and with or without notice, at any time, at the option of (Insert your company name here) or me. This employment application becomes part of the terms and conditions of employment.

Applicant Signature Date


Sample Interview Guide

Financial Sales Assistant

Candidate’s Name: _________________________

Interviewer’s Name: _________________________

Interview Date: ____________________________

In assessing the necessary behaviors, motivations and skills required for success in the Financial Sales Assistant position, all candidates interviewed will be benchmarked against these competencies.

The overall purpose of the position is to perform all administrative and marketing functions for the financial advisor.

1. Job Fit – The extent to which the responsibilities available in the job are consistent with those that result in personal satisfaction; the degree to which the work itself is enjoyable. e.g. – If the job requires travel, but the candidate does not like to travel, then working as a wholesaler would not be a good job fit. e.g. – If a candidate enjoys providing support to others, then working as a Financial Advisor may be a good job fit. Note: You will be looking for likes/dislikes throughout the interview. You do not have to assign a job fit rating on each page as you will determine an overall rating and record it on the last page of the interview guide.

2. Communication – Exchanges information by effectively organizing the message being delivered, maintaining the listener’s attention, adjusting the message to the audience, using accepted grammar and sentence structure, and effectively listening to others and responding appropriately with non-verbal messages.

3. Customer Centric – Makes customers and their needs a primary focus of one’s actions; develops and sustains productive customer relationships by exceeding their expectations every time.

4. Initiative – Takes action to achieve results or accomplish goals beyond what is required; proactive.

5. Work Quality – Sets high standards of performance for self and others; can be counted on to drive for outstanding results.

6. Relationship Building – Works effectively and cooperatively with others; listens, understands and builds positive working relationships.

7. Learning & Understanding the Business – Takes the necessary steps to learn the processes and systems to get things done; stays informed of what is going on in the organization to help make decisions.


Financial Sales Assistant Interview Guide (Advisor Interview)

Preparation Checklist

1. Review resumé using the Resumé Screening Checklist.

2. Prepare to conduct the Key Background Review found on next page.

3. Read the competency definitions and key actions; think about the motivating factors that exist in the position and focus on gaining job fit motivation throughout the interview.

Outline for Opening the Interview

1. Greet the candidate, giving your name and position.

2. Explain the interview’s purpose: • To learn more about the candidate’s background and experience. • To help the candidate understand the position and organization.

3. Describe the interview plan: • Briefly review jobs/experiences. • Ask questions to get specific information about those jobs/experiences. • Provide information and answer questions about the position and organization. (You can do this at the beginning or the end of the interview depending on your preference.) • Point out that you both will get information needed to make good decisions. • Indicate that you will be taking notes.

4. Make the transition to the Key Background Review.

KEY BACKGROUND REVIEW

Work Background (1 of 2)

The purpose is to determine general fit to job needs, e.g. people skills, management style, etc. You might have to ask probing questions to get the candidate to talk more. (Spend 4-5 minute total time on this page. If you are already familiar with the candidate’s work history, you may skip this question or only ask about areas where you need more information.)

1. Position Title

2. Company

3. Dates of employment

What were your major responsibilities?

Did you ever have a change in responsibility? If yes, how did you feel about the change?

PROBING QUESTIONS• Specific results• Biggest accomplishments• Challenges • What would you change or do differently?• What did you learn?• What was the pace? How did you like/dislike?• How were you managed? How did you like/dislike?• How were decisions made? How did you like/dislike?


What did you enjoy most about this position?

What did you enjoy least?

Why did you leave or why are you planning on leaving?


KEY BACKGROUND REVIEW

Work Background (2 of 2)

1. Position Title

2. Company

3. Dates of employment

What were your major responsibilities?

Did you ever have a change in responsibility? If yes, how did you feel about the change?

What did you enjoy most about this position?

What did you enjoy least?

Why did you leave or why are you planning on leaving?

PROBING QUESTIONS• Specific results• Biggest accomplishments• Challenges • What would you change or do differently?• What did you learn?• What was the pace? How did you like/dislike?• How were you managed? How did you like/dislike?• How were decisions made? How did you like/dislike?



Communication (5-7 minutes) Evaluation1. To get our points across, we sometimes need to use

differing approaches when talking with different types of people. Talk to me about a time when you have done that successfully.

2. Give me an example of when you picked up on an important detail in a conversation that others missed.

5 = Significantly Above Expectations 4 = Above Expectations 3 = Meets Expectations 2 = Below Expectations 1 = Significantly Below Expectations N/A = No Opportunity to Rate

Notes: 5: Excellent examples of getting messages across as intended while adjusting communication method based on audience; demonstrating excellent listening skills throughout the interaction and ensuring understanding.

4: Good examples of getting messages across and adjusting communication method based on audience; listens well and ensures understanding.

3: Able to get desired message across and adjusts communication method as needed; demonstrates ability to listen and understand what is being communicated.

2: Limited examples of being able to communicate or listen effectively. Examples do not demonstrate using a different approach based on situation; candidate often does not understand the message being communicated and fails to ensure the audience understands.

1: Provided negative examples of being able to communicate or listen effectively.

Fact-Finding: Communication

Q 1 - Describe what factors you took into consideration when changing your communication approach.

Q 1 – How did you ensure you got your message across as intended?

Q 2 – What made you pick up on this important detail?

Q 2 – What was the impact of you noticing this?

Job fit:

What do you enjoy about communicating with others?

What part of communicating with others could you do without?

Why were these situations significant to you?

What do you find most challenging about communicating with others?

Communication Rating:

Select as needed to get more details.



Customer Centric (5-7 minutes) Evaluation1. Tell me about a time when you found a new way to

increase customer satisfaction.

2. Give me an example of when you went above and beyond for a customer.


Notes: 5: Excellent examples of developing and sustaining productive customer relationships by exceeding their expectations every time.

4: Good examples of developing and sustaining productive customer relationships by exceeding their expectations most of the time.

3: Develops and sustains productive customer relationships by often exceeding the customer’s expectations.

2: Limited examples of developing and sustaining productive customer relationships.

1: Provided negative examples of developing and sustaining productive customer relation-ships; fails to meet the customer’s expecta-tions.

Fact-Finding: Customer Centric

Q 1 – What was your idea? What factors did you consider when developing your idea?

Q 1 – What happened with your idea? What was the final outcome?

Q 2 – Walk me through the steps you took.

Q 2 – What was the impact of you going above and beyond?

Job fit:

What do you enjoy about providing customer service to others?

What part of customer service could you do without?


What do you find most challenging about providing excellent customer service?

Customer Centric Rating:




Initiative (5-7 minutes) Evaluation1. Tell me about a situation when you took ownership of an

issue that wasn’t your responsibility.

2. Give me an example of when you identified a way to make your job easier or more productive.


Notes: 5: Excellent examples of being proactive and taking action beyond what was required.

4: Good examples of being proactive and taking action beyond what was required

3: Proactive and takes action beyond what was required most of the time.

2: Limited examples of being proactive and taking action beyond what was required.

1: Provided negative examples or is not proactive; lacks initiative most of the time.

Fact-Finding: Initiative

Q 1 – Why did you take on this responsibility?

Q 1 – What impact did your actions have?

Q 2 – How were you able to identify what needed to change

Q 2 – What was the result of the change?

Job fit:

Why were these situations significant to you? What did you enjoy about these situations?

What do you find most challenging about being proactive? Why?

Initiative Rating:




Work Quality (5-7 minutes) Evaluation1. How do you define doing a good job? Using that

definition, give me an example of when you did a good job.

2. Sometimes we are less than satisfied with our own performance. Talk to me about a time when you were dissatisfied with the outcome of a task or project you completed. What happened? What were the repercussions?


Notes: 5: Sets highest standards for excellence for self and others; ensures highest quality & that no aspect of the work is neglected; takes ownership, admits mistakes & learns from experiences; encourages others to take responsibility.

4: Demonstrates high standards for excellence; ensures quality of work standards are met; admits mistakes; usually encourages others to take responsibility.

3: Demonstrates an acceptable level of standards for excellence; limits errors to an acceptable level; admits mistakes & often encourages others to take responsibility.

2: Provided limited examples of setting high quality standards; often makes mistakes; made excuses for errors and does not encourage others to improve.

1: Provided examples that indicated the candidate cannot be counted on to drive out-standing results; lacks accountability/depend-ability.

Fact-Finding: Work Quality

Q 1 – How do you know you did a good job? Did you receive any recognition?

Q 1 – When I call your supervisor, what will s/he say? Why will s/he say that?

Q 2 – What did you learn from this experience? How did you change/grow?

Q 2 – Were you faced with a similar task after this? If so, what happened?

Job fit:

What was the most satisfying to you?

What was most dissatisfying to you?


What was the most challenging aspect of these situations? How did you feel about being challenged?

Work Quality Rating:




Relationship Building (5-7 minutes) Evaluation1. Describe a situation where you and a co-worker had a

disagreement over how to handle an issue. What were the circumstances? How did you feel? How did you deal with the conflict?

2. Tell me about a situation in which you were faced with a stressful problem you could not solve within your own workgroup. What did you do?


Notes: 5: Provided outstanding examples of developing and maintaining excellent working relationships across the organization; cares for others; remains positive in all stressful interactions while diffusing the situation.

4: Examples demonstrate that the candidate builds strong working relationships across the organization; cares for others; remains positive in almost all stressful interactions while diffusing the situation.

3: Examples demonstrate that the candidate builds good working relationships across the organization; cares for others and often remains positive in stressful situations while diffusing the situation.

2: Has built good working relationships with others, but behaviors are not acceptable at all times; examples do not show ability to diffuse stressful situations.

1: Provided negative examples of listening, understanding, responding and building relationships.

Fact-Finding: Relationship Building

Q 1 – What factors did you take into consideration when resolving the issue?

Q 1 – How have you learned to deal with diversity?

Q 2 – Why did you feel you were unable to solve the problem within your own group?

Q 2 – When I call your supervisor, what will s/he say about the way you handled stressful or difficult situations with others? Why will s/he say that?

Job fit:

What was most satisfying to you?

What was most dissatisfying to you?


What was most challenging about these situations?

What did you learn from these experiences? How did you change/grow?

Relationship Building Rating:




Learning & Understanding the Business (5-7 minutes)

Evaluation

1. Give me an example of when you spoke to others in order to learn more about how your organization operates.

2. Tell me about a recent situation in which the “typical” way of doing things didn’t work and because of your business knowledge you were able to help solve the problem. How did you solve the problem?


Notes: 5: Provided outstanding examples of identifying and understanding issues, knowing what information to gather and who to involve, generating alternatives and formulating clear decision criteria and choosing the best option.

4: Provided good examples of identifying and understanding issues, knowing what information to gather and who to involve, generating alternatives and formulating clear decision criteria and choosing the best option.

3: Provided sufficient examples of identifying and understanding issues, knowing what information to gather and who to involve, generating alternatives and formulating clear decision criteria and choosing the best option.

2: Examples provided demonstrate that the candidate has trouble identifying and understanding issues, knowing what information to gather and who to involve, generating alternatives and formulating clear decision criteria and choosing the best option.

1: Provided examples that demonstrated the candidate is unable to solve problems on their own.

Fact-Finding: Learning & Understanding the Business

Q 1 – How did you apply the knowledge you learned and what was the result?

Q 2 – What factors did you consider when solving the problem?

Q 1 & 2 – When I call your supervisor, what will s/he say about your ability to learn about how your organization operates? Why would s/he say that?

Job fit:

What did you enjoy about either of these examples?


What was most challenging about either of these situations?

Learning & Understanding the Business Rating:




Determining Interest/Job Fit EvaluationI am going to ask you one final question and I want you to think about it while I review my notes. After I review my notes, I will ask you for your answer and then I may have a few more follow-up questions for you. The question is:Tell me about a goal you have set for yourself and what your plan of action is to achieve it.

1. Tell me about a situation in which you were faced with a stressful problem you could not solve within your own workgroup. What did you do?


Notes: 5: Sees the job as a great fit; highly motivated and enjoys all aspects of the job based on likes and dislikes through the interview.

4: Wants the job for good reasons; highly motivated and enjoys almost all aspects of the job based on likes and dislikes through the interview.

3: Is interested in the position; motivated and enjoys most aspects of the job based on likes and dislikes through the interview.

Recruiting at end of the interview (for good candidates) Ask the candidate what they understand about the position. Answer questions and clarify any aspects of the job that are unclear.

How interested are you on a 0-10 scale? (0=Not Interested/10=Very Interested) Why?

What do you like/dislike about the job?

How do you think this job meets the needs you mentioned earlier as being satisfying?

Is there any additional information you need?

2: Has concerns about certain aspects of the job; does not like many aspects of the job based on likes and dislikes through the interview.

1: Not a good fit.

Overall Summary Overall Interview Score

Competency Rating

A = (Hirable) 4’s or above in all competencies

B = (Hirable) 3’s or above in all competencies

C = (Hold) 3 or above in Job Fit, but 2 in a trainable competency

D = (No Hire) 2 or below in Job Fit and/or 2 in a competency difficult to train and/or critical to the position.

1. Job Fit

2. Communication

3. Customer Centric

4. Initiative

5. Work Quality

6. Relationship Building

7. Learning & Understanding the Business


Offer Letter Template

Date Name Address Line 1 Address Line 2

Dear (first name):

I am pleased to offer you employment with (your firm’s name) and I look forward to having you join our firm. The terms of your offer are as follows:

Start Date:

Job Title:

Base Pay: use one of these two options; the first one is for non-exempt and the second for exempt employees .

($xx .xx) per hour ($xx,xxx) annualized salary, which equates to ($xx,xxx) per pay period (state your pay frequency; e .g . bi-weekly, semi-monthly)

You will be eligible to participate in our benefits plans in accordance with the terms of said plans. Your participation begins (enter benefits effective date), provided you enroll within the allotted period.

We recognize that reasonable time away from the job is beneficial and is considered in the best interest of you and our firm. We provide you with (enter your applicable vacation, sick leave or paid time off policy information) in addition to the following holidays: (list paid holidays) .

As a financial services firm, we are entrusted with confidential information and the resources of our clients. You need to read, sign and return the (enter names of documents you require such as non-compete, confidentiality, etc .) to me no later than your start date. Employees must also comply with all federal and state laws, the rules set forth by regulatory agencies and our own internal policies and procedures.

This offer is also contingent upon the results of your background investigation, and your ability to provide, on or before the first day of employment, documentation that verifies your identification and eligibility to work in the United States, as outlined by the Immigration Reform and Control Act of 1986. Acceptable documents are outlined in Form (I-9), “Employment Eligibility Verification” (U.S. Dept. of Justice Immigration and Naturalization Service).

I look forward to your acceptance of this offer.

Sincerely,

Your Name Your Title

If you accept this offer of employment, please sign, date and return the original copy of this letter to me. By signing this document, you agree that your employment with our firm is considered “at will” and as such, has no specific term or length. Both you and I retain the right to terminate your employment at any time, with or without advance notice or cause. This offer letter, along with (enter names of your required documents such as non-compete, confidentiality, etc.) constitutes our entire agreement.

Signature Date


Reference Check Procedure Form

Insert Your Company Name Here

Employment Verification & Reference Questions

1. Verification of Employment (Contact Human Resources for this information.)

What was the applicant’s most recent job title and dates of service? Is the applicant eligible for rehire?

2. Is there anything you know about the applicant that might put Insert Your Company Name Here at risk if we hire him/her? Describe.

Many companies have policies that do not permit them to give references or information regarding a team member’s performance. Ask the individuals listed as “references” the questions below; if the employer is not permitted to answer, document this form accordingly.

3. How long have you known the applicant?

4. Describe the applicant’s abilities on the job; strengths and weaknesses.

5. Describe the applicant’s attendance and punctuality.

6. Would you describe the applicant as conscientious and responsible? Why?

7. Does the applicant: a. Interact well with management/others? Give Examples. b. Work well as a team player? Give Examples. c. Follow instructions and work well without a supervisor? Give Examples.

8. Would you recommend the applicant for a position of trust and confidence? Why?

9. Is there anything you know about the applicant that might put Insert Your Company Name Here at risk if we hire him/her? Describe.


Sample New Team Member Announcement

Date Name Address Line 1 Address Line 2

Dear (Client’s First Name):

First, please let me take this opportunity to thank you for your business. Because of you, and because you have recommended us to your friends and family, we continue to maintain a steady growth as a firm. As we experience this growth, it is my foremost goal that we continue to provide you with the highest level of service available in our industry. For this reason, there are times when we must add a member to our team to ensure that even through periods of growth we continue to earn your trust by providing you with the support you deserve.

I am happy to announce the addition of (New Hire’s First & Last Name) to the team who is servicing you. (Name) is a graduate of (University) and has been a prominent figure in our community working with (Name of Previous Firm) for the last (Number) years. (Name) will be serving as our Financial Services Assistant handling all paperwork and customer service issues. I am extremely excited that (Name) has joined our firm and I expect that once you have the opportunity to meet (him/her), you will be just as thrilled as we are to have (him/her) on our team.

Please join us on Tuesday, November 11, from 3:00 p.m. – 4:00 p.m. for an open house with light refreshments to welcome (Name) to our firm. (Name) is looking forward to meeting you!

Sincerely,

Your Name


Sample New Hire Checklist

Introduce the new hire to the rest of your team.

Complete any necessary paperwork. By law, you will need to complete an I’9 to verify the person is eligible to work in the United States and a W-4 for tax withholding information. You will need to decide what other forms may be useful to you, such as, a form listing the new hire’s emergency contacts. Consult with your attorney for advice on other forms that may be required by law.

Complete fingerprint kit and return to HD Vest (if applicable).

Create a personnel file for the new hire and file the new hire’s original application and other paperwork.

Provide the new hire information on their benefits and how to enroll, if applicable.

Review pay dates and explain how they will be paid on their first paycheck.

Review your vacation/sick policy and how to schedule time off.

Provide a tour of the work facilities (lunchroom, restroom, copy machine, etc.) and nearby resources (bank, restaurants, parking, etc.).

Review your phone/voice mail system.

Provide key contacts list.

Discuss emergency and evacuation procedures.

Review your company policies and provide them a written copy for future reference. You should have an employee handbook containing all company policies and an acknowledgement form certifying that your employees understand the policies and agree to comply with them. Contact your attorney for advice.

Review the job duties and explain your expectations regarding their performance.

Explain the firm’s mission, vision and history and provide additional training as needed.

FOR INTERNAL USE ONLY HD Vest Financial Services® is the holding company for the group of companies providing financial services under the HD Vest name. Securities offered through HD Vest Investment ServicesSM, Member SIPC, Advisory services offered through HD Vest Advisory ServicesSM 6333 N. State Highway 161, Fourth Floor, Irving, TX 75038, (972) 870-6000 1375277 032315

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