Financial Advisor Assistant
1 month ago
**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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