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 - Kennedy/401

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, setting with multiple demands. The job requires the ability to multitask on a regular basis.

📌 Licensed Assistant (London)
🏢 Allan Small Financial Group with iA Private Wealth
📍 London