Licensed Assistant

Licensed Assistant

Requirements

• Undergraduate degree strongly preferred
• Previous experience in a similar role, preferably within the financial industry
• Expert proficiency in Microsoft programs (MS Outlook/Teams/Word/Excel/PowerPoint)
• Fluent in CRM / SalesForce and PowerBI an asset
• Exceptional organizational and time management skills
• Excellent verbal and written communication skills
• Strong attention to detail and ability to prioritize tasks effectively
• Proven ability to work in a team environment
• Discretion and the ability to handle sensitive information with integrity

Responsibilities

• Act as the first point of contact for clients, answering questions and addressing service needs
• Assist with account maintenance, such as updating client information, processing requests, and executing transactions
• Schedule and coordinate client meetings, preparing necessary documentation and reports
• Respond promptly to client inquiries via phone, email, or in-person interactions, ensuring excellent customer service
• Manage the advisor’s calendar, including scheduling meetings, client appointments, and conference calls
• Handle incoming correspondence, prioritize, and distribute to the appropriate team members
• Maintain accurate client records in CRM systems, ensuring compliance with regulatory requirements
• Prepare client reports, statements, and presentations for meetings
• Ensure that all documentation is properly filled out, signed, and filed in compliance with regulatory standards
• Stay updated on regulatory changes and work with the compliance department to ensure adherence
• Assist in preparing for audits and regulatory reviews
• Process account openings, transfers, and updates
• Handle the submission of trade orders under the direction of the investment advisor
• Monitor account activities to ensure timely and accurate execution of orders and instructions
• Assist the advisor in developing and preparing financial plans, portfolio reviews, and investment proposals
• Gather and organize financial data and research for advisor review
• Support in preparing investment reports and analysis for clients
• Collaborate with other team members to ensure client needs are met in a timely and professional manner
• Provide backup assistance to other administrative staff when needed

Preferred Qualifications

• Knowledge of financial terminology and concepts is a plus but not required
• Ability to build effective partnerships
• Unwavering curiosity and a passion for learning