Licensed Assistant - CSC/CPH

Job Description

The Opportunity

The licensed assistant plays a key role in supporting our corporate advisors by handling administrative tasks, client service, and account management. This individual must hold relevant securities licenses (e.g., CSC, CPH, WME ) and work closely with clients to ensure a smooth and professional experience. The ideal candidate is detail-oriented, highly organized, and comfortable managing a range of tasks in a fast-paced financial services environment.

Client Support

• 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.

Administrative Tasks

• 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.

Compliance and Documentation

• 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.

Account Management

• 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.

Financial Planning Support

• 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.

Team Collaboration

• 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.

Job Requirements

• An undergraduate degree is 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 Power BI is 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
• Knowledge of financial terminology and concepts is a plus, but not required.
• Ability to build effective partnerships.
• Unwavering curiosity and a passion for learning