Generates revenue through development of client relationships by:
- Acquiring new clients to generate ongoing source of profitable revenue
- Identifying opportunities to gather additional assets from existing clients
Develops, executes and maintains compliant financial strategies by:
- Preparing financial strategies and solutions that meet client goals and align with the firm’s objectives and regulatory requirements
- Displaying a high level of integrity and professionalism in all dealings with internal and external clients
- Being accountable to corporate policies and procedures and regulatory requirements, including continuing education obligations for all applicable licenses and designations
Provides a high level of client service by:
- Responding to client requests, inquiries and concerns promptly and efficiently
- Offering sound and appropriate investment advice that meets client financial goals
- Adhering to all firm and regulatory policies by remaining up to date with rules and trading activities as they relate to client accounts
- Ensuring that all client interactions are accurately documented
- Developing and maintaining a thorough understanding of investment solutions
- Reviewing all New Client Account Forms and account updates
Educational Requirements
- Over five years of experience in a securities environment
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook course (CPH)
- Registered Representative Training (RRT)
- Post-secondary education
Ideal Candidate
The ideal candidate will also possess:
- The ability to build strong relationships with clients
- Growth-oriented and experienced at building a book of business
- Intimate knowledge of products available to investors
- Superior interpersonal and communications skills
- Team player and leadership competencies
- Strong planning, organization and people management skills
- Thorough, current knowledge of the Regulations and best practices guidelines
- Thorough understanding of the firms’ compliance policies and procedures
- Excellent oral and written communication skills
Working Conditions
The role operates within a standard office environment. Seminars and client/prospect events are often held in the evening which may require a longer than usual working day. The office is a fast paced often high stress environment often with conflicting demands.
