Specialist - Client Account and Compliance Services
1 week ago
**Position overview**
The Investment Advisor Associate & Administrative Assistant responsibility is to assist the Client Relationship Manager (CRM) with compliance related matters and administrative tasks and liaise with other members of the RFO team in providing daily portfolio maintenance, administration and superior client service.
**Reporting structure**
Compliance Manager - CRM
**Responsibilities**
Compliance
- Review annually compliance documents as per regulator requirements
- Assist with client meeting preparation to ensure client documentation is up to date
- Assist in new client onboarding by preparing the compliance documents and welcome kits
- Ensure that money manager compliance requests are addressed in a timely manner
- Maintain an in-depth understanding and knowledge of all applicable regulatory requirements
- Support the Compliance Manager in any amendments to compliance processes and methodologies
Client Servicing:
- Assist the CRA in managing the proposal process for client acquisition, from prospect to customer
- Obtain and record all client data for account set-up
- Build and maintain strong client relationship
- Ensuring that client requests are fulfilled in an accurate and timely manner
- Investigate and resolve any client issues in a timely matter
Administration and Process Improvement:
- Complete and coordinate any transactional requests and prepare subscription agreements
- Work with Money Managers on all new account openings and funding timelines
- Identify, investigate and resolve all money managers inquiries in a timely manner
- Communicate all changes to the team members requiring the information
- Contribute towards process improvement initiatives and participate in the development of best practices
**Job requirements (knowledge/experience)**:
- College diploma (DEC); university degree preferred
- Canadian Securities Course or IFIC required
- 2-3 years of work experience in financial or banking industry
- Advanced computer skills, including proficiency with MS Office (Word, PowerPoint Excel and Outlook) and the ability to learn new programs
- Strong organizational skills, prioritizing methods and multi-tasking skills
- Ability to work in a dynamic, demanding, high-pressure environment
- Problem solving skills
- Strong interpersonal skills
- Detail oriented and a high level of accuracy
- Ability to work as in a team
- Strong commitment to professional client service excellence
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Montréal, Canada Richter Full time**SPECIALIST - CLIENT ACCOUNT AND COMPLIANCE SERVICES** **Position overview** The Investment Advisor Associate & Administrative Assistant responsibility is to assist the Client Relationship Manager (CRM) with compliance related matters and administrative tasks and liaise with other members of the RFO team in providing daily portfolio maintenance,...
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