Associate Investment Advisor (Licensed)
Richardson Wealth Ltd
About Us: As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada's best investment advisors. Position Overview We are seeking an individual to join our team in the Toronto office. As an Associate Investment Advisor the incumbent will contribute to grow the business by working closely with the Investment Advisor(s) to help manage their portfolios, developing new business, and ensuring high-level client service. Duties and Responsibilities Investment Advisor Support:
Prepare investment policy statements, portfolio evaluations, financial plans, retirement projections, client commentaries/reviews and investment proposals
Assist in research, analysis, asset mix decisions, and investment product selection with an anticipatory mindset
Implement changes to portfolios by trading equity, fixed income and money market securities
Identify new business development opportunities to gather additional assets and/or increase revenue through client prospecting, acquisition and COI networking
Identify opportunities to gather additional assets and/or increase revenue within the existing client base such as referrals, consolidation of assets, insurance, etc.
Assist with regular client communication such as websites, newsletters, and client events
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 client's account and ensuring that any client interaction is accurately documented
At least 5 years' experience in the financial services industry
Understanding of industry and firm compliance regulations and knowledge of back office procedures
Excellent understanding of financial products (Equities, fixed Income, mutual funds, preferred shares, options etc.)
A strong understanding of accounting and financial analysis principles as well as modeling skills
An undergraduate and/or postgraduate degree in Business/Economics or related field
Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative
#From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act.
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