Financial Services Associate

4 weeks ago

Mississauga, Ontario, Canada Investment Planning Counsel Full time

Financial Services Associate

At Investment Planning Counsel, we're seeking a highly skilled Financial Services Associate to join our team. This role is responsible for providing exceptional client service and support to existing advisors and sales assistants, ensuring a high level of accuracy and timely transactional processing.

Key Responsibilities:

  • Transfer Processing Excellence: Demonstrate seasoned expertise in managing both ATON and non-ATON transfer requests, coordinating diligently with partner firms and mutual fund companies to minimize delays and define new efficiencies.
  • Full Ownership of Client Onboarding: Take charge of the entire client onboarding process, including know-your-customer (KYC) account set-up compliance, banking validation, and initiation of transfers, ensuring a smooth and efficient client transition into our services.
  • Quality Control and Document Verification: Rigorously quality check all documents involved in the onboarding process to ensure compliance with both internal standards and external regulatory requirements.
  • SLA Commitment and Comprehensive Management: Emphasize the critical importance of service level agreements by anchoring the right behaviors to not only meet but exceed these standards.
  • Training and Collaboration: Provide guidance on best quality control practices to branch partners to streamline and expedite the account opening process.
  • Continuous Improvement: Regularly review and enhance transfer and onboarding procedures based on feedback and evolving industry standards to ensure an exceptional client experience and compliance integrity.

Requirements:

  • At least 2 years of experience processing external account transfers.
  • Knowledge of relevant IIROC transfer processes.
  • Strong verbal and written communication skills.
  • Post-secondary education or industry equivalency.
  • Minimum 4 years of experience within the Financial Industry, preferably within a dealership.
  • Undergraduate degree in Business preferred.
  • Completion of CSC is an asset.
  • Experience working on the securities operations/client service environment with a good working knowledge of ISM platform and other back-office software solutions preferred.
  • Must be extremely proficient at using the Microsoft Office suite of products, mainly Excel.

About Us:

At Investment Planning Counsel, we're committed to providing industry-leading training to help you succeed in your role. We offer awesome community involvement opportunities through IPC Cares, awesome perks, and a collaborative environment that focuses on achieving and surpassing service level agreements (SLAs).

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