Licensed Associate
On-siteOakville, Ontario, Canada
Job Summary
Research, analyze, and execute trade orders across a portfolio of securities while processing account activities such as RRSP conversions, estate updates, and fund transfers. Draft the client financial newsletter by gathering information, editing articles, designing graphics, and distributing content. Respond to client emails and phone calls, generate specialized reports, and provide portfolio reviews, tax reports, and other account information. Maintain client files to ensure regulatory compliance and proactively follow up on all transactions to minimize errors. Assist in business development by coordinating opportunities with Centers of Influence and using a CRM tool to develop pipeline for revenue growth.
Required Qualifications
- Licensed Investment Associate
- Minimum of 5 years' industry experience
- Diploma in business administration, accounting, finance, or similar field of study
- Bachelor's degree
- Current and maintained registration as an IR
- Completion of all courses and experience requirements with IIROC
- Ongoing requirement to fulfill Continuing Education requirements
- Completion of CSC
- Completion of CPH
- Must be legally eligible to work in Canada
- Background check, satisfactory to the employer
Desired Qualifications
- Professional designation such as PFP, CFA or CFP
- Bachelor's degree preferred
- Comprehensive knowledge of topics related to the financial and securities industry
- Investment and insurance products and services
- Strong organizational skills
- Excellent attention to detail
- Reliable work ethic
- Ability to manage multiple, competing priorities
- Ability to adapt quickly to changing needs and work requirements
- Customer-focused attitude
- High proficiency in Microsoft Office tools
- High proficiency in financial software
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