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||The Investment Associates, licensed as a Registered Representative, primary purpose is to work closely with an advisor in the development and management of the advisors book of business by providing effective client service, and contributing to business development and sales related activities. The IA’s primary role is a sales role.
||1) Generate sales and increase commission revenue by providing advisor with various ideas to generate revenue and gather assets and having targeted commission levels for a segment of the book. Being proactive in commission generation by having a good understanding of client
Profiles, and the investment strategy being used to implement client objectives.
2) Ensure a high level of client service by preparing, analyzing, and presenting to clients gain/loss reporting and recommendations, developing financial plans, independently or with the advisor. Working with the advisor to develop and distribute newsletters. Responsible for ensuring the suitability of the client recommendations are in line with the clients’ financial goals, objectives and risk levels
3) Must adhere to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a clients’ account and ensuring that any client interaction is accurately documented
4) Act as a team leader to other assistants working with the same advisor and in the branch by giving direction on client related activities such as account transfers etc. and demonstrating superior client service. Regularly reviewing processes to ensure administrative processes are
Streamlined, and ensuring administrative tasks being completed and logged for tracking purpos
||- completed CSC, CPH, PFP, and 90 day training and licensed as a Registered Representative with IIROC
- complete Investment Associate training course
- complete all relevant licensing as required by the Advisor’s business eg. Insurance, options
- maintain license by complying with all regulatory requirements
- in-depth product knowledge (ex. Mutual funds, securities etc)