Associate Investment Advisor
Industrial Alliance Insurance
- Toronto, ON
- Permanent
- Full-time
- Providing knowledgeable and accurate service to clients
- Ensuring client information is accurate and up to date; following up with clients on missing documentation
- Meeting with clients; identify client needs and opportunities to grow relationships
- Preparing client onboarding packages with Investment Advisors
- Entering trades, rebalancing accounts, and redemptions/sale of securities
- Following up with clients on missing documentation required
- Maintaining client files and information on the appropriate systems
- Ensuring all client interaction is accurately documented
- Respond to client requests, inquiries, and concerns promptly and efficiently
- Resolving issues and effecting client transactions expeditiously and accurately, and escalating issues to the Director when appropriate
- Understanding the required documentation for all client account types
- Daily/weekly/monthly reporting to management
- Respond to Compliance inquiries in a timely, responsive manner and reassign inquires where appropriate
- Reviewing and vetting Advisor requests to transfer accounts, ensuring accuracy with transfers
- General sales referrals and leads for Investment Advisors
- Ensuring compliance of team policies and procedures
- Reviewing and reducing all restricted accounts
- Identifying opportunities to deepen relationships within the existing client base (i.e. referrals, consolidation of assets, insurance, etc…)
- Acting as partner to business partners and independent advisors
- Remaining up to date with all the regulatory rules and trading activities as they relate to client accounts
- Excellent verbal and written language skills in both English and French owing to frequent interaction with English- and French-speaking clients across Canada
- 1 to 2 years’ experience in a similar role within the investment industry
- Knowledge of financial instruments including equities, fixed income, mutual funds and asset allocation
- Pleasant telephone manner and an ability to keep client conversations on track
- Strong organizational skills
- Ability to take initiative and work independently
- Ability to meet deadlines and targets
- Understanding of industry and firm compliance regulations
- Preference will be given to applicants that are already CIRO Licensed
- Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) completed or in progress.
- Completion of Wealth Management Essentials Course within 12 months
- Completion of other courses as determined by Management