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

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

Knowledge, Skills, and Abilities

Knowledge of:

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

Skill in:

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

Ability to:

• 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;
• 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;
• Display flexibility and willingness to assist others as required;
• Exercise tact and discretion in the handling of confidential information; and
• Communicate proficiently in French is an asset.

Educational/Previous Experience Requirements:

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

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:

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