#17974 Financial Advisor Assistant (MFDA) - Cornwall Wealth Management Group Inc.
Financial Services / Accounting
March 25, 2021
Cornwall Wealth Management Group brings together a diverse group of advisors and a support team that provides clients with comprehensive, professional management of their financial lives, within a very personal feel that is almost like family.
We are looking for an energetic, self-motivated, individual to work in our Oakville office in support of a busy, established Financial Advisor. The successful individual will assist the advisor in servicing existing client relationships, and in building and growing new opportunities within a team approach.
Key Responsibilities Include:
Setting client appointments and managing the Advisor’s calendar.
Work with existing systems, including company websites to generate a variety of fund reports.
Review Client Portfolios and notify Advisor when changes may need to occur.
Prepare client files for appointments, including required paperwork (i.e., applications, transfer forms, KYC updates, etc.)
Coordination and preparation of client materials, updating financial plans with internal team and supporting documents.
After the appointments:
Debrief with Advisor, discuss what needs to be done.
Prepare follow up letters for Advisor, letters of direction, etc. when needed.
Process mutual fund applications, investment applications, transfer authorization forms, etc.
Process all trades.
Record notes and commissions in CRM
Send all required copies of all paperwork to clients.
Send and follow-up on transfer authorization requests.
Make phone calls to follow up when required.
Ensure accurate and timely flow of new business from form completion to delivered reports.
Administrative & Marketing Services
Letters to clients for administration, i.e., changes to PAC, SWP, address, forms, etc.
Follow up all GICs and process reinvestments etc.
Filter client calls and emails to advisor and respond proactively as much as possible.
Deal with Manulife notifications, requests for meeting notes, trades back-up, LOIs, business reviews, questionnaires for advisors and assistants.
Intervene/deal with mutual fund companies when situations require escalation.
Review client administration fees once per year.
Process fee re-imbursements
Ensure compliance standards are strictly adhered to.
Assist with general marketing activities to assist in growing advisors’ book of business.
Assist with social media and email marketing campaigns.
The successful candidate will possess the following:
A minimum of three years experience supporting a Financial Advisor.
MFDA license is preferred.
A high level of professionalism and an ability to maintain strict confidentiality.
An ability to work in a fast-paced environment, while remaining organized and ensuring the highest standards of client service are maintained.
A comfort level with working independently, while contributing and thriving as a part of a larger team.
A pleasant, outgoing personality with excellent verbal and written communication skills.
A proactive, problem-solving, accountable mindset.
Experience as a self-starter with strong administrative, technology and customer relationship skills.
An understanding of financial services regulatory/legal environment and tax issues.
Proficiency with MS Office and contact relationship management systems e.g., Maximizer.
Knowledge of Dataphile, Repource, and Manulife products would be an asset.
This is a full-time position and the compensation offered will be commensurate with experience.
This job advertisement has been provided by an employer external to the Regional Municipality of Halton (Halton Region). Halton Region is not responsible for the accuracy, the authenticity and the reliability of the content.