Job opportunity
Financial Licensed Assistant
Allan Small Financial Group with iA Private Wealth
The Financial 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.
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.
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.
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Apply on source site 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.
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.
#J-18808-Ljbffr