Investment Advisor

4 weeks ago

Ottawa, Ontario, Canada Scotiabank Full time
Position: Investment Advisor - Cantonese or Mandarin Speaker

Join a dynamic and purpose-driven team at Scotiabank, where we are committed to achieving results within an inclusive and high-performing culture.

As an Investment Advisor (IA), you will serve as the primary liaison for Scotia iTRADE clients through our inbound Contact Centre. In this licensed role, you will execute trade orders on behalf of clients while delivering prompt, accurate, and professional service. Your focus will be on maintaining high call quality standards and providing exceptional customer service. You will address client inquiries, troubleshoot basic technical issues, and resolve client problems efficiently. Additionally, you will identify opportunities to introduce clients to our diverse service offerings through cross-selling and referrals.

Key Responsibilities:

  • Develop a comprehensive understanding of the Mainstreet & Gold client segments, trading platforms, and order routing to effectively serve clients.
  • Ensure that every client interaction aligns with Scotia iTRADE's service excellence standards.
  • Engage actively with client inquiries, employing problem-solving skills to achieve First Call Resolution.
  • Collaborate with management to implement effective client solutions.
  • Communicate information clearly and accurately to clients.
  • Ensure timely submission of client instructions and follow-up communications.
  • Address service and trade-related inquiries in a fast-paced contact centre environment through various channels, including phone and email.
  • Work closely with supervisors and other departments to ensure proper handling of client orders.
  • Provide value-added solutions to clients and identify opportunities to enhance client relationships.
  • Offer support to other queues as needed, including Client Care and iClub.

Compliance and Risk Management:

  • Uphold processes that ensure the effective and compliant delivery of outstanding client service.
  • Meet and exceed service objectives and manage client complaints appropriately.
  • Escalate issues and trends to management with recommended solutions.
  • Maintain advanced knowledge of executing client trades for various financial products, including Equities, ETFs, Mutual Funds, Fixed Income, and FX transactions.
  • Provide clients with information regarding stock reorganizations and manage their instructions.
  • Collaborate with management to identify system issues and implement backup procedures as necessary.
  • Identify and act on business development opportunities to grow the business.

Risk Mitigation:

  • Provide trading-based approvals when higher authorization limits are required, ensuring a thorough understanding of risks involved.
  • Assess margin requirements and conduct margin client interviews to evaluate client knowledge.
  • Efficiently resolve trading discrepancies and process trade corrections with appropriate approvals.
  • Familiarize yourself with anti-money laundering, anti-terrorist financing, and privacy laws.
  • Adhere to all Guidelines for Business Conduct and Privacy policies.
  • Ensure compliance with Know Your Customer requirements and act swiftly to rectify errors.
  • Understand your role in a Business Continuity Plan outage.

Business Development:

  • Strengthen existing Scotia iTRADE business and create new opportunities through cross-selling and referrals.
  • Recognize and act on quality business opportunities.

Team Collaboration:

  • Build effective working relationships across teams and with various business lines.
  • Foster a culture of open communication by participating in team meetings and sharing knowledge.
  • Develop and execute a meaningful employee development plan.
  • Support change initiatives and participate in special projects as required.

Qualifications:

  • Fluency in Cantonese and/or Mandarin.
  • Minimum of 2 years of industry experience.
  • At least 1 year of sales experience with a focus on identifying cross-sell and referral opportunities.
  • Strong knowledge of investment products, including Equities, Fixed Income, and Mutual Funds.
  • Excellent attention to detail and risk recognition skills.
  • Ability to set and achieve goals independently.
  • Strong communication and interpersonal skills.
  • Knowledge of back-office functionalities.
  • Adaptability to changing environments and directives from management.
  • Expert understanding of securities settlement procedures.
  • Exceptional time management skills to prioritize workloads effectively.
  • Relevant educational background, such as a College Diploma or University Degree.

Required Industry Courses:

  • Canadian Securities Course (CSC).
  • Conduct and Practices Handbook Course (CPH).
  • IIROC licensed as an Investment Representative and Derivative Fund Options License (DFOL).

At Scotiabank, we value the unique skills and experiences each individual brings to our team and are dedicated to fostering an inclusive and accessible environment for all.

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