Associate Advisor

1 week ago

St Catharines, Canada The Vantage Talent Group Full time

Key Responsibilities (including but not limited to): Client Service & Relationship Management Act as a primary point of contact for client inquiries, ensuring timely and professional responses. Prepare for and participate in client meetings by assembling planning materials, reports, and follow-up documentation. Support ongoing client relationship management through proactive outreach regarding reviews, documentation, and service requirements. Maintain an understanding of clients' goals and plans to enhance the overall client experience. Financial Planning & Advisory Support Assist in the preparation of financial plans, cash flow projections, risk analyses, and retirement scenarios using internal planning tools. Gather and analyze client data to support advisors in crafting personalized wealth strategies. Draft meeting summaries, recommendation memos, and follow-up task lists for review. Support advisor-led investment and insurance recommendations by preparing relevant documentation and ensuring compliance readiness. Investment Administration Process investment instructions including contributions, withdrawals, transfers, and trade requests within defined authority limits. Coordinate account openings, KYC updates, and documentation requirements. Monitor pending transactions, outstanding requirements, and ensure accurate and timely completion of all investment-related activities. Maintain up-to-date knowledge of investment products, platforms, policies, and compliance standards. Insurance Administration (if applicable) Support the preparation and submission of insurance applications. Track underwriting progress and keep advisors and clients informed. Operations & Practice Management Maintain accurate CRM records, task tracking, workflows, and compliance documentation. Prepare weekly pipeline reports, business dashboards, and relevant team metrics. Assist with internal audits, compliance reviews, and document retention standards. Support operational improvements by identifying process efficiencies and workflow enhancements. Compliance & Risk Management Ensure all activities meet regulatory, compliance, and firm policy requirements. Follow established procedures for client identification, suitability, and documentation standards. Escalate issues or potential risks to advisors when appropriate. Qualifications: Post-secondary education in business, finance, or related field. Active CSC license and WME certification 3+ years of experience in wealth management, financial services, or an advisory practice preferred. Strong understanding of investment products, financial planning principles, and client lifecycle processes. Excellent communication skills, professional, clear, and empathetic. High proficiency in CRM systems, financial planning software, and Microsoft Office Suite. Detail-oriented with exceptional organizational and time-management abilities. Ability to work independently and within a collaborative team environment.

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