Scotiamcleod Investment Associate
3 weeks ago
Requisition ID: 173922
As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets.
When you join ScotiaMcLeod, you’ll be empowered to deliver Enriched Thinking®, a unique approach that incorporates your client’s thinking, as well as our thinking, to drive results. You’ll work with a team of specialists to deliver a client-centric approach to wealth management, enabling you to consider all the facets of your client’s life, family and business. With a focus on total wealth planning, and wealth specialists to help you deliver on this unique value proposition, you’ll be enabling clients to see not just the big picture, but all the little ones too.
As a senior member of the Wealth Advisor’s support team, the Investment Associate’s primary purpose is to work closely with the Advisor in the development and the management of their book of business by providing effective client service and contributing to business development and sales related activities.
Key Accountabilities
Generate Sales or Revenue by:
- Identifying new business opportunities to gather additional assets and/or increase revenue.
- Utilizing an in-depth knowledge of products and services to identify new opportunities within the existing client base.
- Maintaining a good understanding of client profiles and that of the Advisor’s investment strategy used to implement client objectives and reach their goals.
- Managing the execution of transactions on behalf of the Advisor.
- Maintains Regulatory Oversight by:
- Ensuring the suitability of client recommendations and trades as per PortfolioAid, and that they are in line with clients’ financial goals, objectives, and risk levels.
- Ensuring non-solicited trades meet the clients risk tolerance.
- Ensuring all queries are answered and closed.
- Recommendations are backed by the firm or documented research.
- Understanding how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk
Ensures a High Level of Client Service by:
- Implementing service level expectations as set out in collaboration with the advisor.
- Preparing, analyzing, and presenting reports and recommendations to clients.
- Working with the Advisor to develop and to distribute client communications and marketing materials.
- Providing recommendations to Advisor for improvements of the team’s business processes.
- Working closely with relationship managers and specialists in order to drive the business forward.
- Coordinate and Execute Business Development by:
- Managing marketing programs, including development, approvals and implementation.
- Prospecting and following up on client leads.
- Developing content and maintaining Advisor website.
Contribute to the effective functioning of the Branch Team by:
- Acting as a leader to other assistants on the team and within the branch by providing direction and coaching.
- Regularly reviewing practices to ensure administrative processes are streamlined, administrative tasks are being completed, and logging work for tracking purposes.
- Building effective working relationships across the team and with various business lines and business partners across the bank.
- Maintaining a high level of customer service and facilitating a culture of openness and honesty.
- Actively participating and contributing to team meetings and other touch-points with team members.
- Encouraging the generation of new ideas and approaches.
- Actively sharing knowledge and experience in order to enhance the development of all team members.
- Developing and executing meaningful employee development plans.
- Championing a high performance environment and implements a people strategy that motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.
- Championing a client focused culture to deepen client relationships and leverage broader relationships, systems and knowledge within Scotia Wealth Management
Education/ Work Experience
- 5 years of industry experience.
- Excellent verbal & written communication skills in English and French
- Strong organizational skills.
- Takes initiative and effectively works independently.
- Strong ability to maintain deadlines.
- Understands industry and firm’s compliance regulations & requirements.
- In-depth industry knowledge.
- Canadian Securities Course Completion (CSC)
- Conduct & Pr
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