Finanial Advisor Assistant

Financial Advisor Assistant

The Financial Advisor Assistant will be responsible for service excellence in all dealings with existing clients, as well as prospects. Major accountabilities will include client servicing, administrative support to advisors, placing MFDA trades, managing CRM systems with high level of attention to detail, completion and follow up on client communication and documentation, including other duties as assigned such as providing back-up for other support staff. The incumbent will take the initiative to learn about all IPC policies, procedures, and available programs/offerings as well as completing all required continuing education requirements for licensing.

Demonstrating effective communication, taking initiative, and having strong organization skills in a fast-paced environment will be key.

Job Responsibilities & Activities:

Responsibility: Provide administrative support to Advisor(s) in servicing IPC clients

• Responsible for documentation accuracy and follow up, when required, and collating reports as directed.
• Ensure effective client communication and completion of account paperwork; directly with clients and potentially in liaison with the offices of referring advisors.
• Create and manage task lists to ensure completion to internal standards.
• Support the entire account opening process from the preparation of client documentation to the co-ordination of the account opening and asset transfers, placing MFDA (Univeris), with a focus on identifying and engaging key personnel to accomplish various tasks.
• Check daily trades and other transactions to ensure accuracy and timeliness
• Escalate all matters on a timely manner to advisors, as warranted by the situation.

Responsibility: Support Advisor(s) with calls, enquiries, events, and marketing strategies

• Act as the first point of contact between advisors and their clients
• Ensure excellence in end to end processes to migrate prospects to clients
• Provide sales and marketing support to advisors
• Outbound calls and emails to set up meetings/client engagements and client events.
• Facilitate effective business dialogues with clients assisting in building relationships.
• Establish a clearly defined course of action to accomplish goals and monitor progress against targets; supported by strong note taking and effective communication

Responsibility: Team Support

• Support service delivery and provide absenteeism coverage for other support staff, as directed from time to time.
• Manage and maintain all instructions, notes, and necessary reports in an organized and accessible manner to satisfy compliance obligations, fiduciary duties, and sales requirements.
• Adhere to all firm and regulatory policies by remaining up to date with rules regarding client accounting and industry regulations.

Skills and Knowledge Requirements:

Professional Experience - Minimum 2-3 years within a support capacity in an investment firm. Alternate comparable experience will be considered.

Education Requirements - Post secondary diploma or degree in business, finance, economics or other related discipline. Completion of or immediate pursuance of CSC or IFIC is mandatory for Registration purposes. Role will be supporting advisors and clients on the MFDA platform initially.

Industry Experience – Knowledgeable in securities and mutual fund products within financial markets is required. Requires knowledge on the creation of point of sales pieces as well as creating client proposals. Knowledge in field of Comprehensive Financial Planning would be an asset. Knowledge of VisonWorks, Conquest or SNAP is an asset.

Communication - Excellent customer service skills required. Ability to listen and deliver customers' needs. Timely follow up. Excellent phone etiquette and presentation skills. Able to foster and maintain excellent relationships with advisors, branch support staff, Head Office staff and other key stakeholders.

Organizational skills and time management – Able to multi-task, prioritize and meet tight deadlines. Should be comfortable working in a fast-paced environment and detail oriented. Various key responsibilities require strong time management skills; strong ability to manage various documents is required.

Computer software – Must have intermediate knowledge of Cloud base services such as Office 365, PowerPoint, Word, Outlook, Excel, Docusign, Teams, Contact Management software (CRM) and Zoom. Knowledge of Univeris and NetRep/iMost is preferential.

Job Type: Full-time

Pay: $45,000.00-$70,500.16 per year

Benefits:

• Paid time off

Language:

• English (preferred)

Work Location: In person