Licensed Assistant

Licensed Assistant – Raymond James Ltd.

Raymond James Ltd. is seeking an experienced Licensed Assistant to work in our Barrie office. The role is a permanent full-time position with a competitive compensation and benefits package.

Location: Barrie, Ontario, Canada.

Schedule: Full-time
Status: Permanent Full-Time

• Industry CSC licensing is mandatory.
• Three years experience as an IR in the industry.

• Execute the administrative processes and systems.
• Monitor client accounts and maintain client files.
• Scan all client documentation to central server files.
• Welcome clients into the office and handle requests.
• Follow through with Master Calendar that outlines actions each month/year.
• Support the pre-trade process for all PM trades.
• Assist in planning, organizing and executing client and charitable events periodically throughout the year.
• Review marketing processes – social media, ads, client cards and milestone recognition.
• Gain overview of US domiciled account systems and processes.
• Act as an integral part of the administrative team and its support of the business.

• Assist with clearing walkways and spreading salt during winter for safety.
• Pre-walkthrough of office area before client meetings to ensure cleanliness and high standards.
• Perform minor troubleshooting and software updates on office computers, fax, and copier.
• Encourage ownership of office systems and safety by everyone.

• Prepare client reports and files ahead of Advisor client meetings.
• Manage account cash holdings to ensure they are always invested at top rates.
• Follow up on GIC maturities and coordinate with clients to match cash investments to time frames and objectives.
• Collaborate with team to identify areas for specialized support across aspects of the business.
• Prepare follow-up notes for team actions to ensure completion before filing folders.
• Support quarterly review report preparation with team.

• Securities license in good standing.
• Minimum 3 years’ experience as an IR within the Financial Services industry.
• Ability to provide constructive suggestions to improve client experience.
• Great organizational skills and reliability to meet deadlines.
• Capability to organize recurring yearly tasks.
• Excellent verbal and written communication skills.
• Ability to follow and execute well-laid business processes.
• Team player, professional and friendly manner.
• Positive attitude and strong work ethic.
• Exceptional problem-solving skills.
• Ability to prioritize and multitask.
• Openness and willingness to learn new systems.
• Ability to work well independently.
• Meticulous attention to detail.
• Proficiency with MS Office (Word, Excel, PowerPoint).
• Familiarity with CRM software tools.

• CIM or CFA designation.
• CFP designation.
• Life Insurance license.
• US securities licensing – Series 7 or Series 65 (if PM qualified).
• TEP designation.

Support is provided to cover some costs of relevant applicable advanced financial designations, as well as ongoing focused professional career development, if you are a successful candidate.