Investment Funds Advisor

2 weeks ago

Greenwood, Canada People Exchange Inc on behalf of SiSiP Full time
About the Role

We are seeking a highly motivated and detail-oriented Investment Funds Advisor - Associate to join our team at People Exchange Inc. on behalf of SISIP Financial. As a key member of our team, you will play a vital role in supporting our clients in achieving their financial goals.

Key Responsibilities
  • Develop and execute a personal business plan to drive client acquisition and retention in a personal book of business.
  • Review and monitor client accounts to ensure each relationship is effectively managed, compliant, and adheres to regulatory and/or service requirements.
  • Leverage a CRM in the day-to-day and strategic management of client relationships and business development activities.
  • Complete trades and Mutual Fund order entry forms – redemptions, switches, purchases, and transfers.
  • Accountable for pre/post meeting file preparation, documentation, processing, and filing for advisory professionals.
  • Conduct client outreach to share information, provide education, arrange attendance for events, and schedule appointments for annual reviews and meetings or advise of deficiencies in completed forms.
  • Accountable for management of client inquiries to provide support and service.
  • Create new client files for and financial advisory professionals (Financial Planner, Financial Advisors, Insurance Representatives & Financial Counsellors) and assign client numbers.
  • Adhere to and comply with respective professional/industry fiduciary requirements and organizational standards, policies, and business practices to meet or exceed the appropriate regulatory and compliance requirements.
  • Adherence to regulatory guidelines for processing trades and document management.
  • Dedication to maintaining education, licensing, and professional standards relevant to their role.
Requirements
  • Bachelor's degree or College diploma in Business Administration, Commerce, Economics, or a related field.
  • 2-3 years of experience in financial services.
  • Canadian Securities Course (CSC) or Investment Funds Institute of Canada (IFIC).
  • Registration to sell Mutual Funds (MFDA/AMF) an asset.
  • Working towards a Certified Financial Planner (CFP) or Personal Financial Planner (PFP) designation, an asset.
  • Working towards Life License Qualification Program (LLQP) or provincial life insurance license, an asset.
  • Experience in a client service function.
What We Offer

We offer a dynamic and collaborative work environment committed to continuous improvement, personal growth, and professional development. As a member of our team, you will have the opportunity to work with a talented group of professionals who are passionate about delivering exceptional service to our clients.

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