Licensed Wealth Assistant

Our client offers tailored wealth management solutions through a network of more than 450 independent Investment Advisor teams. This is a full-time hybrid role for an RR Licensed Sales Assistant. The role is located in Toronto, ON, with some work from home flexibility.

Responsibilities:

Client Service and Relationship Management

• Serve as the primary point of contact for clients, handling inquiries with professionalism and discretion.
• Support onboarding of new clients, including KYC documentation, account openings, and compliance checks.
• Maintain regular communication with clients regarding portfolio updates, documentation, and administrative matters.

Trade Execution and Administration

• Process buy/sell orders under the advisor’s direction, in accordance with regulatory and compliance standards.
• Monitor and follow up on trade settlements, cash flows, and account balances.
• Ensure timely and accurate execution of all trade-related activities.

Compliance and Regulatory Adherence

• Ensure all documentation and processes comply with CIRO regulations and firm policies.
• Maintain up-to-date records in accordance with audit and regulatory requirements.
• Assist with AML, KYC, and other compliance-related reviews and updates.

Portfolio and Account Administration

• Prepare reports, client reviews, and summaries for meetings using internal systems and portfolio management tools.
• Monitor client accounts for upcoming maturities, margin calls, and cash management needs.
• Support the advisor in maintaining current client investment profiles and risk assessments.

Documentation and Record-Keeping

• Prepare, review, and manage all required documentation for account changes, transactions, and transfers.
• Maintain and update CRM/database systems with accurate client information and interactions.
• Organize and archive all documentation in compliance with privacy and data security protocols.

Marketing and Business Development Support

• Assist with preparation of client newsletters, communications, and event coordination.
• Update marketing materials and support outreach initiatives as directed by the advisor.
• Identify opportunities for cross-selling or referrals through client interactions.

Team and Office Support

• Collaborate with other team members and departments (e.g., compliance, operations) to resolve client or operational issues.
• Participate in internal meetings and contribute to the efficiency of office operations.
• Provide backup support for other licensed or administrative staff as required.

Qualifications:

• Strong interpersonal and customer service skills
• Experience in sales and organizational skills
• Ability to work independently and efficiently manage tasks
• RR Licensed (CSC, CPH)
• Proficiency in MS Office and CRM software is a plus
• Bachelor’s degree or equivalent experience in a related field

To apply, upload your resume and complete the required information in the “Apply For The Job” section located to the right of the posting. Alternatively, quote the position title and email your resume to: Kendra; k.penhale@tdspersonnel.com

If you are already registered with TDS Personnel please contact your Consultant.

TDS Personnel is an equal opportunity employer and is committed to providing employment in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act. Accommodations within reason due to a disability or medical need are available on request for candidates taking part in the recruitment process.