Key responsibilities of this role are :
Assists current and prospective clients to achieve financial wellness by supporting the Investment Advisor’s advice and solutions to meet clients’ needs including all types of stocks, bonds, mutual funds and other investment products.
Supports the client relationship and enhances the relationship for targeted clients.
Processes security transactions accurately and efficiently within established policies, procedures and regulations set out by various regulators.
May include complex calculations to rebalance the portfolio. Although Investment Advisors are ultimately responsible, the Investment Associate does the work.
Ensures all documentation adheres to compliance, policies and procedures on all investment dealings.
Assists with and performs activities relating to all types of investment accounts including contributions, investment options, maintenance, gathering research for analysis, and regulatory compliance matters.
Handles inquiries by branch personnel or clients concerning all types of investment accounts. Inquiries can be complex and technical in nature.
A fully competent incumbent is expected to handle these independently.
Provides clients with accurate information regarding security transactions as well as any general inquiries of account status.
Reconciles data for accuracy and investigates and corrects errors.
Provides support to the Wealth Management team by booking appointments, preparing correspondence and reports, and maintaining files and materials.
Partners with branch staff in identifying potential clients who would benefit from Wealth Management products and services.
Follows-up with branch referrals and client inquiries to develop and maintain effective relationships.
Makes referrals to other staff for loans, investments, and insurance as appropriate. Directs inquiries to appropriate BlueShore Financial staff.
Updates our Client Relationship Management (CRM) software as a tool to keep the Financial Advisor apprised of any client interactions.
Makes recommendations for process improvements and implements as directed.
Keeps up-to-date on all compliance regulations including changes, updates and enhancements
Qualifications and Experience
2-3 years directly related experience in an IIROC sales support role
Financial Management Diploma or Certificate plus additional experience or equivalent
Must be registered representative on the IIROC platform within six months.
Solid understanding of registered products, processing and regulations related to processing
Solid understanding of financial planning and taxation
Solid understanding of investment trading and book of record systems
Solid understanding of Microsoft Word and Excel and trading systems
Canadian Securities Course an asset
Conducts & Practices Handbook an asset
Investment Funds in Canada an asset
Investment Representative Training Course 90-day Training Program an asset
Demonstrated background in business development and needs-based sales an asset
Basic understanding of CRM software
What can BlueShore Financial can do for you?
Opportunity to support a well established and experienced Investment Advisor(s).
Limitless career progression opportunities.
Comprehensive Total Rewards Program including bonuses, pension, flexible benefits and competitive compensation.
Opportunity to work in a world class, award winning organization.
What BlueShore Financial needs from you :
Accountability, in all directions.
Can do attitude.
The drive to provide a premium level of service regardless of location or position.
Professional appearance and manner.