Client Services Associate

**About us**

StollerWealth, is a Winnipeg based wealth management firm that is growing

At the heart of StollerWealth is the belief that our clients deserve the best and the same goes for our people. As a **Client Services Associate **you will help our clients realize their financial goals & aspirations and you will be a part of a growing team that believes in helping their people achieve their personal & professional goals as well.

The StollerWealth team is a group of smart, dedicated, high caliber people driven to deliver exceptional client service in a fast paced work environment. We take pride in our work and pride ourselves as trusted Advisors to our clients. As we grow, we need talented, dynamic, highly motivated individuals that embody our culture and values.

The Client Services Associate’s primary focus is to assist an advisor in the day to day trading and the administration of their business. The Associate may be required to support more than one advisor and different business models.

**Delivers a high level of client service by**:

- Supporting advisor with the review of client portfolios to ensure alignment with risk profile and applicable investment programs
- Gathering research and product information from internal and external sources
- Entering client trades as directed by client and/or advisor
- Staying up-to-date with regulatory rules and trading activities regarding client accounts

**Ensures effective client administration by**:

- Following up with clients on missing documentation as per industry regulatory requirements
- Maintaining client files and information
- Ensuring daily trades and system account entries are timely and accurate
- Responding to client inquiries in a professional and responsive manner
- Resolving issues and implementing client transactions expeditiously and accurately
- Issuing instructions for client withdrawals, deposits, swaps and transfers
- Ensuring all client interactions are accurately documented
- Understanding the required documentation for all client account types

**Provides marketing assistance to the advisor by**:

- Identifying opportunities to acquire additional assets and/or increase revenue with existing clients (e.g. referrals, consolidation of assets, insurance, etc.)
- Developing, distributing and maintaining marketing materials
- Organizing client events and sponsorship activities

**Supports the growth of the advisor business by**:

- Assisting in idea generation
- Reviewing daily commission reports and following up on unpaid commissions
- Preparing, analyzing and presenting reports, marketing concepts, insurance plans, annual trading summary, etc.
- Recommending ways to provide additional value to clients and increase office efficiencies

**Contributes to the effective functioning of the team by**:

- Building effective working relationships across the team and with corporate head office
- Maintaining a high level of client service standards
- Facilitating a culture of open and honest communication
- Actively participating and contributing to team meetings
- Encouraging the generation of new ideas and process improvements
- Actively sharing knowledge and experience to enhance the development of all team members
- Committing to professional development

**Working environment**:

- The role operates within a standard office environment.
- Seminars and client/prospect events are often held in the evening which may require a longer than usual and/or working day flexibility.
- The office is a fast-paced, often high stress, environment with multiple demands.

**Educational requirements (or working toward)**:

- Canadian Securities Course (CSC)
- Conduct and Practices Handbook course (CPH)
- Investment Representative Training (IRT)
- Post-secondary education

Work Remotely
- No

**Benefits**:

- Dental care
- Extended health care
- Paid time off
- Vision care

Schedule:

- 8 hour shift

COVID-19 considerations:
We have adapted to the new business environment to create and maintain a safe and productive operating environment for our clients and team members.

Ability to commute/relocate:

- Winnipeg, MB: reliably commute or plan to relocate before starting work (required)

**Education**:

- Secondary School (preferred)

**Experience**:

- Financial services: 3 years (required)
- Industry (IIROC or MFDA firms): 1 year (required)
- Client Services: 3 years (required)

Licence/Certification:

- Canadian Securities Course (CSC) from CSI (required)
- Conduct & Practices Course (CPH) from CSI (required)
- IR or RR License with IIROC (required)

Work Location: In person