Reporting to the Director, Business transition and support, Business and National Sales the Licensed Assistant will provide transitionary support to either new advisors joining the firm or existing advisors within our independent advisor platform. They will have the opportunity to broaden their experience in the investment industry. The ideal candidate will be highly motivated and have an interest in progressing to Investment Advisor, Senior Licensed Assistant, other internal roles or career opportunities.
Major accountabilities include:
Manage New Client Account Opening with our client onboarding platform
Manage Client Document Updates
Handle client cash flow requests (Money in and Money out)
Ensure all activities are inputted into respected CRM tools, where applicable
Monitor transactions – Set up of PACs/SWPS/Contributions/Withdrawals
Assist with compliance inquiries
Help with Estate Settlements
Prepare and complete reports for both the advisor and the client as needed
Provides a high level of client service by:
Preparing, analyzing, and presenting reports and recommendations
Working with the advisor to develop client communications and marketing pieces
Responding to client requests, inquiries, and concerns promptly and efficiently
Adhering to regulatory policies by staying up to date with all industry rulings and policies
Ensuring all client interactions are accurately documented
Maintaining client files and information on the appropriate systems
Ensuring all client interaction is accurately documented
Respond to client requests, inquiries, and concerns promptly and efficiently
Resolving issues and effecting client transactions expeditiously and accurately, and escalating issues to the Director when appropriate
Understanding the required documentation for all client account types
Respond to Compliance inquiries in a timely, responsive manner and reassign inquires where appropriate
Reviewing and vetting Advisor requests to transfer accounts, ensuring accuracy with transfers
Coordinating client mailing
General sales referrals and leads for Investment Advisors
Ensuring compliance of team policies and procedures
Reviewing and reducing all restricted accounts
Remaining up to date with all the regulatory rules and trading activities as they relate to client accounts
The branch is a fast paced, often high stress, environment with multiple demands and requirements.
1 to 2 years’ experience in a similar role within the investment industry.
Good knowledge of different account types (Cash, Margin, RRSP, RRIF, LIFs, RESP, etc.).
Working knowledge of different investment instruments including equities, fixed income, mutual funds.
Good communication skills, written and verbal.
Pleasant telephone manner and an ability to be able to speak to both internal partners and clients.
Strong organizational skills
Ability to take initiative and work independently
Ability to meet deadlines and targets
Understanding of industry and firm compliance regulations.
Education and Accreditations:
Preference will be given to applicants that are already IIROC Licensed (IR)
Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) completed or in progress.
Completion of other courses as determined by Management
Our employees are our best investment and we have much to offer them.
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
Our commitment to Diversity and Inclusion
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please contact us here. Someone from our team will be happy to assist you.