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Title Investment Associate - Whistler Branch
Summary Under general supervision, this position is responsible for a variety of sales administration duties for the Investment Services team to help meet members’ needs. Duties include such things as assisting in research of investment products, portfolio analysis, processing transactions, and promoting various investment vehicles, Credit Union investment products and the Wealth Management area.
Description • Assists clients and prospects to achieve financial wellness by supporting the Investment Advisor/Investment Specialist’s advice and solutions to meet clients’ needs including all types of stocks, bonds, mutual funds and other investment products.

• Supports the client relationship and enhances the relationship for targeted clients.

• Processes security transactions accurately and efficiently within established policies, procedures and regulations set out by various regulators.

• Ensures all documentation adheres to compliance, policies and procedures on all investment dealings.

• Assists with and performs activities relating to all types of investment accounts including contributions, investment options, maintenance, gathering research for analysis, and regulatory compliance matters.

• Handles routine inquiries by branch personnel or clients concerning all types of investment accounts.

• Reconciles data for accuracy and investigates and corrects errors.

• Provides support to the Investment Services team by booking appointments, preparing correspondence and reports, and maintaining files and materials.

• Provides clients with accurate information regarding security transactions as well as any general inquiries of account status.

• Partners with branch staff in identifying potentially profitable clients who would benefit from Wealth Management products and services.

• Promotes Wealth Management to branch staff to increase their knowledge and understanding of Wealth Management products and services.

• Follows-up with branch referrals and client inquiries to develop and maintain effective relationships.

• Makes referrals to branch staff for loans, investments, and insurance as appropriate.

• Using our Client Relationship Management software as a tool to keep the Financial Advisor apprised of any client interactions.

• Directs inquiries to appropriate BlueShore Financial staff.

• Makes recommendations for process improvements and implements as directed.

• Keeps up-to-date on all compliance regulations including changes, updates and enhancements.

• Orders supplies and Marketing materials for Wealth Management
Skills • Administration
• Communication (verbal/written)
• End-user computer programs
• Interpersonal
• Organizational
• Problem solver
• Sales and service skills
• Time management
• Business building
• Works well under pressure
• Handles deadlines and multiple projects
Experience • 1-3 years directly related experience in a sales support role
• Financial Management Diploma or Certificate plus additional experience or equivalent
• Must be registered representative on the IIROC platform within six months.
• Canadian Securities Course
• Conducts & Practices Handbook
• Investment Funds in Canada
• Investment Representative Training Course – 90-day Training Program
• Demonstrated background in business development and needs-based sales
• Solid understanding of registered products, processing and regulations related to processing
• Solid understanding of financial planning and taxation
Date Added 1/20/2014
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