Investment Advisor
The Investment Advisor is responsible for providing investment solutions that offer clients a comprehensive, fully diversified portfolio aligned to their risk profile and investment objectives. The Investment Advisor responds to client inquiries and
proactively identifies investment opportunities to grow revenue and reduce risk.
About this role
Generates revenue through development of client relationships by:
- Acquiring new clients to generate ongoing source of profitable revenue
- Identifying opportunities to gather additional assets from existing clients
Develops, executes and maintains compliant financial strategies by:
- Preparing financial strategies and solutions that meet client goals and align with the firm’s objectives and regulatory requirements
- Displaying a high level of integrity and professionalism in all dealings with internal and external clients
- Being accountable to corporate policies and procedures and regulatory requirements, including continuing education obligations for all applicable licenses and designations
Provides a high level of client service by:
- Responding to client requests, inquiries and concerns promptly and efficiently
- Offering sound and appropriate investment advice that meets client financial goals
- Adhering to all firm and regulatory policies by remaining up to date with rules and trading activities as they relate to client accounts
- Ensuring that all client interactions are accurately documented
- Developing and maintaining a thorough understanding of investment solutions
- Reviewing all New Client Account Forms and account updates
The role operates within a standard office environment. Seminars and client/prospect events are often held in the evening which may require a longer than usual working day. The office is a fast paced often high stress environment often with conflicting demands.
Qualifications
- Over five years of experience in a securities environment
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook course (CPH)
- Registered Representative Training (RRT)
- Post-secondary education
The ideal candidate will also possess:
- The ability to build strong relationships with clients
- Growth-oriented and experienced at building a book of business
- Intimate knowledge of products available to investors
- Superior interpersonal and communications skills
- Team player and leadership competencies
- Strong planning, organization and people management skills
- Thorough, current knowledge of the Regulations and best practices guidelines
- Thorough understanding of the firms’ compliance policies and procedures
- Excellent oral and written communication skills
