Major Responsibilities
- Serve as the primary relationship manager for a portfolio of independent investment advisors, providing expert guidance and comprehensive support.
- Oversee complex account processes, including onboarding, transfers, and maintenance, ensuring strict adherence to IIROC regulations and internal policies.
- Act as an escalation point for the Investment Dealer Account Associates, resolving advanced inquiries and operational challenges.
- Proactively identify and address advisor needs, delivering tailored solutions to support their business growth.
- Ensure accurate and timely execution of trades, account updates, and service requests, collaborating with internal teams, including compliance, trading, and back-office operations.
- Lead process improvements by identifying opportunities to enhance service delivery, operational efficiency, and advisor satisfaction.
- Provide training and mentorship to Associates, fostering their development and ensuring a high standard of service within the team.
- Maintain comprehensive records of client interactions, transactions, and service activities, ensuring compliance with regulatory and internal requirements.
Qualifications and Skills
- Bachelor’s degree in finance, business administration, or a related field, with 5+ years of experience in the securities brokerage industry.
- Proven track record of managing relationships with investment advisors, providing strategic support, and delivering exceptional service.
- In-depth knowledge of IIROC regulations, securities trading, and client account management.
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) certifications are preferred.
- Strong leadership skills, with experience mentoring and guiding junior team members.
- Excellent problem-solving abilities, with a proactive approach to resolving complex issues.
- Exceptional communication and interpersonal skills, with the ability to build trust and rapport with advisors.
- Ability to manage multiple priorities in a fast-paced environment while maintaining attention to detail and accuracy.
- Proficiency with investment dealer platforms and back-office systems is preferred.
Job Type: Full-time
Language Requirement: Mandarin and English
Work Location: Onsite at AimStar Markham office
Benefits:
- Company events
- Dental care
- Extended health care
- Paid time off
- Tuition reimbursement
- Vision care
Schedule:
- 8 hour shift
- Monday to Friday
