Licensed Assistant

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 programs
• 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
  Organizing client events and sponsorship activities

Supports the growth of the advisor business by:

• Assisting in idea generation
• Reviewing daily commission reports and following up on unpaid commissions
• Preparing, analyzing and presenting reports, marketing concepts, insurance plans, annual trading summary, etc.
• Recommending ways to provide additional value to clients and increase office efficiencies

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
• 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
• Committing to professional development