Licensed Assistant

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 – Kennedy/401

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.