Financial Services Administrator

1 month ago

Kitchener, Canada Wagner Livock and Associates Full time

At Wagner, Livock & Associates, we work together to make a meaningful impact on our clients’ lives and build an environment where every member of our team discovers their greatest potential. As a Licensed Administrator, you will play a pivotal role in ensuring that all client transactions and administrative processes are handled with precision and in compliance with industry regulations. You will collaborate with our financial planners, advisors, operations and administrative team, to deliver exceptional customer experience.

**You’ll Get To**
- Assist with onboarding clients who are engaging in our services and products. This involves verifying the accuracy and completeness of client documentation, ensuring that all regulatory requirements are met, and facilitating the proper setup of accounts.
- Oversee and process transactions related to mutual funds, segregated funds, guaranteed investment products, group savings/pension plans, and insurance policies. This includes but not limited to executing trades, processing premiums, managing policy renewals, and handling fund redemptions or transfers.
- Maintain accurate records of all transactions, client communications, and compliance documentation using CRM: Salesforce and other software’s, ensuring that the firm can easily access information for audits, client inquiries, or regulatory reviews.
- Prepare detailed proposals and illustrations for group benefit plans, group retirement plans, individual insurances, and individual investments.
- Provide support to clients and financial advisors by answering inquiries, resolving issues, and providing information about our services and products, referring inquiries to advisors, where appropriate.
- Support advisors’ time management by scheduling appointments, crafting client communications, preparing client files, tracking tasks, and preparing meeting summaries.
- Ensure that all activities adhere to industry regulations and legal requirements. This includes maintaining up-to-date knowledge of relevant laws and guidelines and implementing them within the firm's processes.

**Who We’re Looking For**
- **[REQUIRED]** Mutual Fund or Canadian Securities license obtained and in good standing: CIRO (Canadian Investment Regulatory Organization).
- Life and Accident & Sickness Insurance license obtained and in good standing: FSRA (The Financial Services Regulatory Authority of Ontario) is an asset.
- 3+ years customer-facing experience required in a similar role (retail, hospitality, online support).
- 3+ years of financial services experience.
- 1+ years of group benefits and savings experience.
- CLU designation and/or CFP designation is an asset.
- Familiarity with Sun Life proprietary software is an asset.
- Familiarly with NaviPlan and/or Conquest Planning is an asset.
- Knowledge of regulatory requirements and compliance standards.
- Expertise with professional written communication and the ability to spot spelling and grammar errors.
- Proficiency with notetaking/copywriting conversations, identifying the cause, and aligning on end goals.
- Capability of prioritizing competing requests.
- Ability to work independently and as a member of highly functioning team.
- Proactive thinker and problem solver with a service-oriented attitude.
- Ability and willingness to learn and develop new skills.
- Strong proficiency in typing accuracy and speed, computer literacy, and Microsoft Office Suite of software’s.
- Strong proficiency and understanding of CRM (Customer Relationship Management) software such as Salesforce.
- Availability during business hours (8:30AM to 4:30PM EDT) to work a 37.5 hour work week Monday to Friday.

**Benefits & Perks**
- Competitive salary.
- Life & extended health insurance with 100% covered premiums for you and dependent(s) - spouse/children if applicable.
- Comprehensive Short-term, Long-term Disability benefit, Dental benefit, and Critical Illness benefit.
- Second Opinion Consult services (world-class medical differential diagnosis).
- EFAP (Employee and Family Assistance Program).
- Flexible paid time off.
- Approved continued education reimbursement.
- Approved professional designation program reimbursement/sponsorship.
- Employee donation match to community organizations.
- Multiple employee appreciation/team building events throughout the year.
- Reimbursement of premiums for applicable license(s)/designation(s), membership(s), E&O insurance, CE credit program.
- Free private lot downtown parking.
- Close proximity to cultural landmarks such as Victoria Park.

**Cash Compensation Range (CAD)**
- $45,000 - $60,000
- The base cash compensation (salary) for this position will vary based on job-related criteria including relevant skills, experience, licensing, and professional industry accreditation, among other factors.
- In addition to the cash compensation above (which includes base salary and, where applicable for eligible roles, may include on-target commissions, bonuses and/or ov

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