Financial Advisor Assistant

1 month ago


Mississauga, Canada NPY Wealth Management Full time

**Licensed Advisor Assistant**

**Responsibilities**:

- Working directly with an IIROC Advisor where the focus is on client relationships and building a sustainable wealth management business.
- Assist with servicing existing clients.
- Deal directly with all clients, provide quotes and execute trading orders.
- Process and follow-up on client documentation for proper maintenance of accounts.
- Meet with clients to assess their needs and identify opportunities for relationship growth.
- Maintain accurate and organized client files and update relevant systems promptly.
- Respond to client requests, inquiries, and concerns efficiently and in a timely manner.
- Understand and manage the required documentation for various client account types.
- Identify opportunities to deepen client relationships through referrals, consolidation of assets, insurance, and other services.
- Stay up to date with regulatory rules and trading activities related to client accounts.
- Involvement in developing the wealth business using various marketing initiatives.
- Perform additional administrative duties as required.

**Requirements**:

- Excellent verbal and written communication skills in English.
- Knowledge of operational aspects of traditional (stocks, bonds, money market, mutual funds) and nontraditional (managed and fee based) products is an asset
- Exceptional interpersonal skills when interacting with clients
- Proactive, confident, and professional approach to problem-solving, at times with mínimal supervision
- Strong ability to meet deadlines and achieve targets.
- Solid understanding of industry compliance regulations and firm-specific rules.
- An interest in Financial Planning and/or Insurance would be beneficial.

**Education and Accreditations**:
Ø Applicant must be CIRO Licensed

Ø Wealth Management Essentials (WME) course completed.

Ø Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) completed

Office Location: Mississauga

This vacancy is for the office of a NPY Wealth Management Advisor, licensed with IIROC.

We appreciate all applicants' interest, but only those selected for an interview will be contacted.

Additional pay:

- Bonus pay

**Benefits**:

- Disability insurance
- Flexible schedule
- Life insurance

Schedule:

- Monday to Friday

Work Location: In person


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