Licensed Assistant

The Licensed Assistant’s primary focus is to assist an advisor in the day to day trading and the administration of their business. The Licensed Assistant may be required to support more than one advisor and different business models.

About this role

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


  • Canadian Securities Course (CSC)
  • Conduct and Practices Handbook course (CPH)
  • Investment Representative Training (IRT)
  • Post-secondary education