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Associate Investment Advisor

Employment Status
Permanent Full-Time
Location
Guelph, ON
Department
Retail
Reporting To
Investment Advisor(s) and Branch Management Team
Job Id
GUE - 009
Job Level
L5
Seniority Level
Mid-Senior
Position Overview

We are seeking an individual to join our team in the Guelph office. As an Associate Investment Advisor, the incumbent will contribute to grow the business by working closely with the Investment Advisor(s) to help manage their portfolios, develop new business, and ensure high-level client service.

Duties & Responsibilities

Investment Advisor Support:

  • Prepare investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
  • Manage the execution of New Issue recommendations and transactions on behalf of the Advisor
  • Assist in research, analysis, asset mix decisions, and investment product selection with an anticipatory mindset
  • Implement changes to portfolios by trading equities, fixed income, mutual funds, and money market securities

Business Development:

  • Identify new business development opportunities to gather additional assets and/or increase revenue through client prospecting, acquisition and COI networking
  • Identify opportunities to gather additional assets and/or increase revenue within the existing client base such as referrals, consolidation of assets, insurance, etc.

Client Service:

  • Deliver a superior client experience in assisting clients with day-to-day requests and ongoing proactive service calls
  • Assist with regular client communication such as websites, newsletters, and client events
  • Adhere to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a client’s account and ensuring that any client interaction is accurately documented.
Skills & Qualifications
  • At least 5 years’ experience in the financial services industry
  • Excellent verbal and written communication skills in English
  • Exceptional organization and time management skills with the ability to multi-task and problem-solve
  • Ability to take initiative and work independently
  • Ability to meet deadlines
  • Understanding of industry and firm compliance regulations and knowledge of back office procedures
  • Excellent understanding of financial products (Equities, fixed Income, mutual funds, preferred shares, options etc.)
  • The ability to build relationships within a sales and entrepreneurial environment
  • A strong understanding of accounting and financial analysis principles as well as modeling skills
  • Ability to quickly learn new technologies and programs
Education
  • An undergraduate and/or postgraduate degree in Business/Economics or related field
  • Successful completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Wealth Management Essentials (WME)
  • Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative