Licensed Sales Assistant (Pcg Branch)

Job Summary

The primary role of the Licensed Financial Advisor Assistant is to support a team of financial advisors and the Branch Manager (BM) by ensuring the office is managed efficiently and effectively. The position is responsible for entering client trades, servicing client requests and processing trade instructions by phone, and ensuring client paperwork is up to date and accurate. The Assistant will provide administrative support to Financial Advisors and outstanding service to their clients, representing the Raymond James Ltd. brand, wealth management services, and the assigned financial advisory team. An Advisor should be able to rely on the Assistant to function responsibly and independently. The successful candidate must be client-service driven, self-motivated, and love to interact with clients.

This is a supportive team environment which promotes personal career growth. Drawing on previous experience as an Administrative Assistant in a financial services firm, or upon a degree/diploma within Financial Management or Business Administration, you must have meticulous attention to detail, possess a positive attitude, and have exceptional interpersonal skills. The successful candidate must also be responsible, confident, self-motivated, and a team player.

Essential Duties And Responsibilities

• Conduct research on market intelligence;
• Be responsible for all cash management within the team practice, including incoming and outgoing funds, purchases and redemptions of cash equivalents;
• Maintain files and other general office duties;
• Support clients’ general day-to-day administrative and trade requests in a timely and confidential manner;
• Support the Financial Advisors in growth of the overall business;
• Communicate internally with various operational and administration departments;
• Handle incoming and outgoing phone calls with clients and respond to requests for information;
• Assist with marketing events, seminars, client meetings etc.;
• Schedule appointments, prepare for meetings, and follow-up;
• Assist on strategizing and administrating email campaigns;
• Prepare client presentations with guidance from the financial advisor assistants;
• Track and follow-up on opportunities;
• Process and follow up on security transactions and transfers, including trade instructions;
• Set up meetings with meaningful prospects;
• Act as team lead during tax reporting season, liaising with tax professionals & clients to provide details, slips and updates as required;
• Assist with all marketing initiatives including social media (twitter, LinkedIn), and website content;
• Prepare professional correspondence and reports, documents and files;
• Foster and support client relationships by liaising with clients, responding to requests and demonstrating proactive problem solving;
• Open accounts and manage documentation requirements;
• Generate and identify leads from online resources and qualify leads via cold calling;
• Other duties as assigned.
• Work within LinkedIn and Salesforce;
• Be responsible for and support the team with paperwork, manage head office correspondence, and handle the account opening process for new clients;
• Grow and take courses as required for regulatory purposes; and
• Enter trades for Financial Advisors and clients as requested;
• Ensure all paperwork is completed correctly and in adherence with regulatory requirements;

Knowledge, Skills, And Abilities

Knowledge of:

• Website editing is an asset;
• Social media (eg. Facebook, Twitter, LinkedIn, blog posts, etc.);
• Personal tax filing;
• Compliance practices and regulations;
• Fundamental investment concepts, practices, and procedures used in the securities industry;
• CRM (Customer Relationship Management) software and maintaining/improving CRM databases is an asset;
• Salesforce is an asset; and
• Administrative processes and procedures, including opening accounts, RRSPs, TFSAs, and corporate accounts;
• Dataphile is an asset.
• Online marketing tools including Google analytics, website assets, SEO, Facebook, LinkedIn, and Twitter is an asset;

Skill in:

• LinkedIn, Facebook, and Twitter; and
• Customer service and problem solving.
• Microsoft Office with a willingness and ability to learn new applications;
• Organization, prioritization, and attention to detail;

Ability to:

• Exercise tact and discretion in the handling of confidential information; and
• Display flexibility and willingness to assist others as required;
• Communicate proficiently in French is an asset.
• Work independently as well as collaboratively within a team environment;
• Demonstrate a professional manner to establish and maintain effective working relationships at all levels of the organization;
• Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
• Manage multiple deadlines and tasks;
• Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;

Educational/Previous Experience Requirements:

• A minimum of 3 years of industry related experience; and
• Experience in the investment brokerage, financial services, banking, or accounting industry is an asset.
• Post-secondary education;

Licenses/Certifications:

• Investment Representative licensing, including the successful completion of the Canadian Securities Course and the Conduct and Practices Handbook, is required; and
• Registered Representative licensing, including the completion of the Wealth Management Essentials Course, is preferred.

Depending on eligibility, we offer:

• Health Benefits Program including Life Insurance and Disability from start date
• Discretionary Bonuses
• Tuition Reimbursement Program
• Top Up Plan
• Competitive Wages
• RRSP Matching Program from start date
• Employee Stock Purchase Plan
• Paid Time Off & Other Time Off such as Volunteer Day
• Flexible Work Styles
• Employee Investment Accounts

Job

Wealth management

Primary Location

CA-ON-Toronto-Toronto

Organization

Branch

Schedule

Full-time