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The licensed Sales Assistant will provide quality, efficient and specialized administrative support on multiple and diverse range of assignments. This position will provide dedicated support to an Investment Advisor (IA) or team of IAs and as required to other branch staff. The role will involve a fair degree of complexity and will include but is not limited to the following accountabilities:
Correspondence and assemble documentation for accounts;
Maintain accurate marketing materials, assemble required documentation in advance of sales presentations and assist with marketing mail out activities;
Maintain current knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics,
Process client applications and transfers in a timely manner;
Execute market orders and respond to client enquiries promptly and accurately;
Verify and correct any errors or omissions in daily transaction summaries;
Ensure satisfactory resolution of client enquiries and take ownership of coordinating responses with other branches/departments as necessary;
Provide market quotes and track Dividends, RSPs, RIFs;
Maintain complete client files and ensure documentation in good order.
Participate fully as a member of the team and contribute to a positive work environment;
Share expertise of position relevant information and any changes discovered.
Education/Accreditations:
Undergraduate Degree or Community College Diploma preferred
Completion of the Canadian Securities Course and Conduct and Practices Handbook
Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative (IR) or Registered Representative (RR)
Essential Skills
- Reading text
- Document use
- Numeracy
- Writing
- Oral communication
- Working with others
- Problem solving
- Decision making
- Critical thinking
- Job task planning and organizing
- Finding information
- Computer use
- Continuous learning
Specific Skills
- Work with minimal supervision
- Customer service oriented
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