Associate Investment Advisor
The Associate Investment Advisor’s primary purpose is to work closely with the advisor in growing and managing the advisor’s book of business by providing
effective client service and contributing to business development activities.
About this role
Generates sales or revenue by:
- Identifying new business opportunities to acquire additional assets and/or increase revenue
- Establishing targeted revenue levels for each segment of the book
- Using in-depth knowledge of products and services to identify new opportunities within the existing client base
- Ensuring investment recommendations are suitable and align with client’s financial goals, objectives and risk tolerance
- Maintaining a good understanding of client profiles and corresponding investment strategies
- Managing the execution of transactions on behalf of the advisor
- Ensuring non-solicited trades meet the client’s risk tolerance
Provides a high level of client service by:
- Preparing, analyzing, and presenting reports and recommendations
Assist the advisor in developing investment plans - Working with the advisor to develop client communications and marketing pieces
- Proactively recommending team and business process improvements
- Responding to client requests, inquiries, and concerns promptly and efficiently
- Offering clients sound investment advice that align with their investment objectives
- Adhering to regulatory policies by staying up to date with all industry rulings and policies
- Ensuring all client interactions are accurately documented
Contributes to business development by: - Assisting the advisor in the creation, preparation and presentation of business plans
- Managing marketing programs, including the development, approvals and implementation
- Prospecting and following through on sales leads
Manages the effective functioning of the team by:
- Regularly reviewing practices to ensure administrative processes are streamlined
- Building effective working relationships across the team and with corporate head office
- Maintaining a high level of client service
- Facilitating a culture of open and honest communication
- Actively participating and contributing to team meetings
- Encouraging the generation of new ideas and approaches
- Sharing knowledge and experience to enhance the development of all team members
- Exhibiting commitment to grow into a highly trained advisor
Qualifications
- Five years of industry experience
- Excellent written and verbal communication skills
- Strong organizational skills
- Growth-oriented with ability to take initiative and work independently
- Ability to meet deadlines
- Understanding of industry and firm compliance regulations
- In-depth industry knowledge
- Post-secondary education
TRAINING AND ACCREDITATIONS
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook (CPH)
- Wealth Management Essentials (WME) prior to enrolling in Registered Representative Training
- Registered Representative Training (RRT)
- Relevant licensing as required by the advisor’s business
