Advisor Services Associate

6 days ago

Mississauga, Ontario, Canada Investment Planning Counsel Full time

Job Summary

Investment Planning Counsel is seeking a highly skilled and experienced Advisor Services Associate to join our team. As a key member of our operations team, you will be responsible for providing exceptional client service and support to existing advisors and sales assistants.

Key Responsibilities

  • Transfer Processing Excellence:
    • Demonstrate seasoned expertise in managing both ATON and non-ATON transfer requests.
    • Coordinate diligently with partner firms and mutual fund companies to minimize delays and define new efficiencies.
    • Provide regular, scheduled updates to advisor offices, ensuring top-tier support and exceptional customer service throughout the transfer process.
  • 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.
    • Ensure 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.
    • Own the full value of each request from branch partners, ensuring every problem is acknowledged, owned, and responded to in a manner that is both fully functional and holistically comprehensive.
    • Continuously safeguard these metrics to maintain the highest level of service integrity and client satisfaction.
  • Training and Collaboration:
    • Provide guidance on best quality control practices to branch partners to streamline and expedite the account opening process.
    • Deliver within internal teams to share best practices to optimize the team.
  • 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.
  • Custodian Partnership Development:
    • Build and maintain strong relationships with custodian partners to enhance service delivery.
    • Work closely with these partners to identify and implement improvements in the onboarding process that benefit all parties involved.
  • Internal Collaboration for Enhanced Service:
    • Forge robust relationships with branch partners, fostering a collaborative environment that focuses on achieving and surpassing service level agreements (SLAs).
    • Act as a liaison to ensure that branches receive the support and training necessary to operate transfers efficiently and effectively.

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.

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