Portfolio Administrator Level 1

TITLE: Portfolio Administrator Level 1
LOCATION: Calgary, AB
REPORTING: Portfolio Administrator Team Lead

JOB PURPOSE: Why does this role exist?
The Portfolio Administrator (PA1) delivers exceptional client service and support as it pertains to
the delivery of client administrative services for new and existing clients. This role works with the
firm's Asset Management team to support the firm's operations to achieve business
objectives and goals. The primary focus of the PA1 is to provide an exceptional client experience
and service to Financial Advisors, Investment Counsellors and our clients.

This role includes but is not limited to processing new account applications and other account
related paperwork and requests; including account set up and ongoing account support and
tracking. This role also provides an opportunity to build client relationships over the phone. The
role reports to the Portfolio Administrator Team Lead.

KEY ACCOUNTABILITIES

• Promotes a culture of compliance throughout the firm.

• Maintain Client Management Systems (CRM) to align with compliance requirements (CRM &
current filing system).

• Responsible for delivering results within established service delivery guidelines.

• Key contact for all client service and support issues with Custodians and key business partners
(National Bank Independent Network, Olympia Trust Company, and Royal Bank of Canada); trouble
shooting and problem solving.

• Provides backup to Client Experience Coordinator at Reception as required.

CRITICAL PERFORMANCE AREAS

FIRM CONTRIBUTION

• Management of Harmony including:
     o Client/Account Set up
     o Contact information
     o Set-up fee group and fee plan with Controller/Accounting
     o Households

• Daily checking of Integrity Report on Harmony.

• Process all account documentation and transfers in established guidelines.

• Process bank deposits to firm's custodians; initiate instructions to generate cash through
fund sales at client's request.

• Identify opportunities for efficiency improvements.

• Assist with communication and implementation of current and new policies and procedures.

• Responsible to adhere to all compliance and regulatory requirements as set out by the firm and
other regulatory bodies.

CLIENT MANAGEMENT

• Prepare all new client on-boarding documentation such as account openings, transfers, etc.

• Prepare and distribute client forms, emails and mailings as necessary (quarterly client statements,
transfers, withdrawals, Letters of Direction, Power of Attorneys, etc.).

• Key point of contact for clients:
      o Incoming client phone calls
      o Administrative requests

• Ownership and successful completion of all client requests.

BUSINESS DEVELOPMENT

• Provide various statements as requested internally and externally.

• Day to day training and problem resolution for Investment Counsellors/Financial Advisors/Sales
team.

LEADERSHIP & TEAM DEVELOPMENT

• Demonstrates, emphasizes and promotes professional and ethical conduct.

• Fosters an atmosphere of teamwork and cohesiveness.

FINANCIAL & BUSINESS PERFORMANCE

• None.

FUNCTIONAL COMPETENCIES

• Ability to align with core values focused on client service and performance measures

• Excellent written and oral communication skills

• Creative and proactive approach in managing multiple priorities; excellent time management and
organizational skills

• Ability to offer efficient and quality service to clients; enjoy working directly with people

• Strong attention to detail; self-starter

• Proficiency in Microsoft, word processing skills; leverage technological developments within the
role

• Passion for working with financial professionals in growing their businesses

QUALIFICATIONS

• College/University degree or equivalent is an asset

• Diploma in administration or office technology, or equivalent related experience

• 3-5 years of administrative experience in the financial industry with direct client service
responsibilities

• Level 1 CFA or desire to obtain licensing is an asset

• Compliance experience is an asset

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