Financial Licensed Assistant

Allan Small Financial Group with iA Private Wealth; Toronto; On-site; CAD 45,000 - 65,000; Full time

Job summary

Allan Small Financial Group with iA Private Wealth is seeking a Financial Licensed Assistant to support the advisor in day-to-day trading and administration. The role includes reviewing client portfolios, entering trades, maintaining records, and upholding regulatory requirements.

The position also involves supporting marketing efforts, client communications, and collaborative teamwork to enhance service and office efficiency.

Qualifications

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

Responsibilities

• Provide high level client service and support to the advisor.
• Review client portfolios for alignment with risk profile and objectives.
• Enter client trades and ensure timely, accurate processing.
• Maintain client files and documentation to regulatory standards.
• Support marketing efforts and client communications.
• Coordinate with team and head office; contribute to process improvements.

Skills

Client service

Portfolio review

Regulatory compliance

Trade entry

Team collaboration

Education

CSC

CPH

IRT

Post-secondary education

Job description

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.

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.
• 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.