Summary
The Licensed Assistant’s primary focus is to assist the advisor in the day-to-day trading and the administration of the business. To assist the advisor, manage the portfolios and help provide the best service and advice possible.
Location
Toronto
Description
Delivers a high level of client service by:
· Supporting advisor with the review of client portfolios to ensure alignment with risk profile and applicable investment objectives
· Gathering research and product information from internal and external sources
· Entering client trades as directed by client and/or advisor
· Staying up-to-date with regulatory rules and trading activities regarding client accounts
Ensures effective client administration by:
· Following up with clients on missing documentation as per industry regulatory requirements
· Maintaining client files and information
· Ensuring daily trades and system account entries are timely and accurate
· Responding to client inquiries in a professional and responsive manner
· Resolving issues and implementing client transactions expeditiously and accurately
· Issuing instructions for client withdrawals, deposits, swaps and transfers
· Ensuring all client interactions are accurately documented
· Understanding the required documentation for all client account types
Provides marketing assistance to the advisor by:
· Identifying opportunities to acquire additional assets and/or increase revenue with existing clients (e.g. referrals, consolidation of assets, insurance, etc.)
· Developing, distributing and maintaining marketing materials
Supports the growth of the advisor business by:
· Assisting in idea generation
· Recommending ways to provide additional value to clients and increase office efficiency
Contributes to the effective functioning of the team by:
· Building effective working relationships across the team and with corporate head office
· Maintaining a high level of client service standards
· Facilitating a culture of open and honest communication with team and especially the advisor
· Actively participating and contributing to team meetings
· Encouraging the generation of new ideas and process improvements
· Actively sharing knowledge and experience to enhance the development of all team members
Educational requirements
· Canadian Securities Course (CSC)
· Conduct and Practices Handbook course (CPH)
· Investment Representative Training (IRT)
· Post-secondary education
Working conditions
The role operates within a standard office environment. The office is a fast-paced, often high stress, environment with multiple demands. The job requires the ability to multitask on a regular basis.
Job Type: Full-time
Pay: $50,000.00-$70,000.00 per year
Benefits:
Work Location: In person
