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

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