Financial Licensed Assistant

The Financial Licensed Assistant’s primary focus is to assist the advisor in the day-to-day trading and the administration of the business. To assist the advisor, manage the portfolios and help provide the best service and advice possible.

• Supporting advisor with the review of client portfolios to ensure alignment with risk profile and applicable investment objectives
• 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.
• 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

• 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

• Assisting in idea generation
• Recommending ways to provide additional value to clients and increase office efficiency

• 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 with team and especially the advisor
• 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

• Canadian Securities Course (CSC)
• Conduct and Practices Handbook course (CPH)
• Investment Representative Training (IRT)
• Post-secondary education

The role operates within a standard office environment.

The office is a fast-paced, often high stress, environment with multiple demands. The job requires the ability to multitask on a regular basis.