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Job Posting - Licensed Assistant

Position overview

Our team is looking for a professional, motivated individual to join our growing financial planning practice. The current position offering is that of licensed assistant to Nicky Trasias, CFP®. Please see below for a description of the role and its requirements.

Delivers a high level of client service by:

• Supporting advisor with the review of client portfolios to ensure alignment with risk profile and applicable investment programs.
• Gathering research and product information from internal and external sources.
• Entering client trades as directed by client and/or advisor.
• Staying up-to-date with regulatory rules and trading activities regarding client accounts.

Ensures effective client administration by:

• Following up with clients on missing documentation as per industry regulatory requirements.
• Maintaining client files and information.
• Ensuring daily trades and system account entries are timely and accurate.
• Responding to client inquiries in a professional and responsive manner.
• Resolving issues and implementing client transactions expeditiously and accurately.
• Issuing instructions for client withdrawals, deposits, swaps and transfers.
• Ensuring all client interactions are accurately documented.
• Understanding the required documentation for all client account types.

Supports the growth of the advisor business by:

• Assisting in idea generation.
• Reviewing daily commission reports and following up on unpaid commissions.
• Preparing, analyzing and presenting reports, marketing concepts, insurance plans, annual trading summary, etc.
• Recommending ways to provide additional value to clients and increase office efficiencies.

Contributes to the effective functioning of the team by:

• Building effective working relationships across the team and with corporate head office.
• Maintaining a high level of client service standards.
• Facilitating a culture of open and honest communication.
• Actively participating and contributing to team meetings.
• Encouraging the generation of new ideas and process improvements.
• Actively sharing knowledge and experience to enhance the development of all team members.
• Committing to professional development.

Key skills and attributes

• Attention to detail: Keen eye for accuracy in trades, account entries and client documentation.
• Detail oriented: Thorough and organized in maintaining client files and meeting regulatory requirements.
• Critical thinking: Able to assess situations, spot issues and recommend sound solutions.
• Initiative: Proactively anticipates needs, takes ownership of tasks and moves work forward without constant direction.

Qualifications

• Preferred: Degree or Diploma in business related fields or equivalent work experience in the financial services or insurance industry. Minimum 3 years experience.
• Preferred: Completion of the Canadian Securities Course (CSC).

Working conditions

The role operates within a standard office environment. Seminars and client/prospect events are sometimes held in the evening which may require a longer than usual working day. The office is a fast-paced environment with multiple demands.

To apply

To apply, please email your resume and cover letter to info@essentialwealthgroup.com.

Click here to download a copy of the job description.