Investment Advisor Assistant

Investment Advisor Assistant

First Ontario Credit Union, Hamilton, Ontario, Canada

• Enhanced mental health benefits through Sun Life and TELUS Health
• Up to $1000 per year towards professional development
• Pension Plan
• Company-wide Employee Volunteer program (Blue Wave Program)
• Employee and Family Assistance Program

The Investment Advisor Assistant partners closely with Advisors to deliver exceptional member experience through accurate and compliant account administration, proactive service, and operational support. Acting as the first point of contact for inquiries, this role manages scheduling, documentation, and communication while maintaining precise records and ensuring strict adherence to CIRO regulatory standards. Key responsibilities include supporting new member onboarding, book of business administration, and business development initiatives, including member communication, referral tracking, and event coordination.

• Serve as the first point of contact for incoming member communication and general inquiries.
• Handle member service issues promptly and professionally, ensuring confidentiality and compliance.
• Schedule appointments on behalf of Advisors and prepare meeting documentation, investment summaries, and member-review packages.

• Support new member onboarding, including documentation, account setup, transfers, KYC/AML updates, and beneficiary changes.
• Maintain accurate CRM records and ensure member files meet CIRO and internal compliance requirements.
• Process and follow up on member documentation for proper maintenance of accounts.

• Assist Advisors with processing business using dealer‑provided systems, including entering supervised trades and processing cash movements.
• Prepare holdings reports and monitor outstanding items to ensure timely completion.
• Coordinate with operations, compliance, custodians, and back‑office partners to resolve account and trade related issues.

• Support business development initiatives, including preparing marketing materials, managing communications, referral tracking, and coordinating member events.
• Assist with servicing existing members and prospecting for new opportunities.

• Track tasks, follow up on documentation, and ensure high quality workflow execution.
• Compile statistical information and prepare professional correspondence, reports, and presentations as required.

• A diploma or degree from a recognized post‑secondary institution or equivalent relevant experience.
• Must be registered as an Investment Representative (IR) with CIRO or eligible upon hire, requiring completion of CSC® and CPH®.
• Maintain license in good standing, complete CE requirements, and comply with all regulatory standards.
• Effective January 1, 2026, the individual must comply with CIRO's updated competency‑based registration and examination requirements.

• Minimum 1 to 2 years of experience in a Financial Institution.
• Minimum 1 to 2 years in an investment dealer environment is preferred.
• Be proficient in Microsoft Office and CRM/business related software.

• Strong knowledge of the securities industry and compliance standards.
• Detail oriented, organized, and able to manage multiple priorities under pressure.
• Excellent communication and interpersonal skills; ability to work effectively with members and internal teams.
• Self‑motivated, proactive and capable of working independently.
• Ability to prioritize tasks and meet deadlines in a fast‑paced environment.
• Team‑oriented with a commitment to continuous learning and professional development.

• Sales & Service Orientation:
  Deliver superior value while building long‑term relationships.
• Continuous Learning:
  Demonstrate commitment to ongoing skill development and industry knowledge.
• Organizational Effectiveness:
  Understand strategic direction and contribute to performance improvement.
• Ethical Behaviour:
  Maintain integrity, confidentiality, and professionalism in all interactions.
• C…