Columbus Licensed financial advisor assistant Jobs – 2 Openings This Week

Licensed Assistant
Allan Small Financial Group/IA Private Wealth —Scarborough, ON
- $50,000–$70,000 a year
- Full-time
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Investment Advisor Assistant
Canaccord Genuity Corp. —Toronto, ON
Assist Investment Advisors with processing and confirming client transactions; Deal directly with all clients, provide quotes and execute trading orders;
$65,000–$70,000 a year
Licensed Assistant
Allan Small Financial Group/IA Private Wealth —Scarborough, ON
Actively sharing knowledge and experience to enhance the development of all team members. Responding to client inquiries in a professional and responsive manner…
$50,000–$70,000 a year
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Licensed Assistant

Allan Small Financial Group/IA Private Wealth
Scarborough, ON

Quick apply

Job details

Full-time

Benefits

On-site parking

Skills

Post-secondary education
CSC

Full job description

Summary

The 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.

Location

Toronto

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 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

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

Supports the growth of the advisor business by:

· Assisting in idea generation

· Recommending ways to provide additional value to clients and increase office efficiency

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 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

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

Job Type: Full-time

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

Benefits:

On-site parking

Work Location: In person

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Licensed Assistant

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