Licensed Assistant

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

Location Stoney Creek, Ontario

Description

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

Educational requirements

Canadian Securities Course (CSC)

Conduct and Practices Handbook course (CPH)

Investment Representative Training (IRT)

Post‐secondary education

Working conditions

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 working day. The office is a fast‐paced, often high stress, environment with multiple demands.

Salary Range $50,000 – $70,000 Plus Bonuses

(Salary will depend on level of experience)

Health Benefits available after 3 Months employment

If you are a confident, dedicated, and hardworking professional who is motivated to achieve high standards of quality service and value to clients, we would like to hear from you.

Job Types: Full-time, Permanent

Salary: $50,000.00-$70,000.00 per year

Benefits:

• Extended health care

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday
• On call

Ability to commute/relocate:

• Hamilton, ON: reliably commute or plan to relocate before starting work (required)

Licence/Certification:

• Canadian Securities Course (CSC) (preferred)
• Conduct and Practices Handbook course (CPH) (preferred)
• Investment Representative Training ( IRT) (preferred)

Work Location: In person

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