Dealer Services Representative - Temporary Full-Time (12 months)
$43,550–$72,583 year
HybridMississauga, Ontario, Canada
Job Summary
Review transaction requests to ensure completed documentation and supporting materials are submitted. Execute translations on behalf of advisors for new account openings and updates, and respond to client calls regarding advisor and client concerns. Provide expertise to filed management and employees on client issues, including triaging complaints related to 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 clearance as a condition of employment
Desired Qualifications
- Having or working towards the Branch Compliance Manager designation
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