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Under the direction, the Branch Administrator, this role is responsible for supporting the branch and IA teams in achieving the business objectives of profitability, market share and NPS.
Business Delivery and Operational Effectiveness
• Support the IA’s sales and service objectives by delivering service initiatives to the IA’s clients which includes, but is not limited to, review of reports, follow-up on client inquiries and requests to ensure appropriate account maintenance; accept and process unsolicited orders over the phone or in person
• Contribute to the IA’s business objectives by ensuring the book of business is being developed including client meetings
• Ensure client needs are met or exceeded
• Project a professional and consistent image by adhering to organization’s brand, corporate identity and standards
• Liaise with various departments for execution of client requests and problem solving and other branch duties as assigned
• Coordinating marketing activities on behalf of several IAs
Risk Management & Controls
• Ensure compliance regulations are adhered to
• Ensure proper adherence to all aspects of First Principles Our Code of Conduct and Ethics
• Follow security and safeguarding procedures and apply appropriate due diligence for the prevention of loss due to fraud, counterfeiting, money laundering or defalcation in accordance with Bank policy
• Basic/intermediate knowledge of investment process and procedures. Proactively and professionally provides assistance to IA(s) in order to meet client needs and IA(s) expectations
• Strong knowledge of administrative process and procedures as contained in Sales Administration Manual
• Knowledge of proprietary products and services, and fund company offerings
• Working with head office and branch operations and administration areas as required
• Knowledge of compliance rules (proprietary and industry)
• Understand and read ADP and RIS reports to provide interpretation to IA(s) or use as required
• Knowledge of trade processing rules
• Fixed income and money market product knowledge
• Knowledge of Navi Plan Financial Planning
• Knowledge of fund companies and funds offered in order to identify appropriate funds based on client needs
• Highly functional with use of: RIS, SAM, Thompson One, Salesforce.com, Intranet, Internet, E-mail
• University degree
• Bilingual (English & French)
• Computer literacy
• CSC and CPH
• Current registration as an Investment Representative (IR)
• Minimum 5 years of experience
• 12 hours of ongoing compliance training every 3 year cycle to meet mandatory IDA Continuing Education Program requirements
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