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 programs
- 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
- Organizing client events and sponsorship activities
Supports the growth of the advisor business by:
- Assisting in idea generation
- Reviewing daily commission reports and following up on unpaid commissions
- Preparing, analyzing and presenting reports, marketing concepts, insurance plans, annual trading summary, etc.
- Recommending ways to provide additional value to clients and increase office efficiencies
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
- 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
- Committing to professional development
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. 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 with multiple demands.
