Dealer Services Rep
$43,550–$72,583 year
HybridMississauga, Ontario, Canada
Job Summary
Review transaction requests, ensuring appropriate documentation is completed and supporting files are submitted. Execute translations on behalf of advisors to reflect client requests, new account openings, and updates. Respond to client calls and follow up on advisor and client concerns with external partners. Provide expertise and guidance to filed management and employees on client issues, including addressing and triaging client complaints regarding Mutual Funds. Identify non-compliant transactions or behaviors and escalate issues as appropriate. Maintain effective working relationships with key business partners to ensure compliance with Mutual Fund licensing regulations across all provinces and territories.
Required Qualifications
- At least 1 year of experience in investments
- Post-secondary education in Business Administration, Finance, Commerce, Advanced Investment or a related discipline
- Basic knowledge of insurance, products, sales practices and procedures, distribution and market conduct regulations
- Mutual Fund Licence (or will obtain it)
- Background check (as a condition of employment)
Desired Qualifications
- Having or working towards the Branch Compliance Manager designation
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