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
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.

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

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