Associate Investment Advisor I

at  TD Bank

BUSINESS OPERATIONS - PRODUCT & PROCESS KNOWLEDGE:

• Be knowledgeable of and comply with TD Bank/industry service standards, policies/procedures/controls, codes and guidelines of conduct/privacy codes/securities laws and regulations and maintain high ethical standards.
• Complete familiarity and adherence to compliance and IIROC requirements as outlined in PIA’s policies/procedures and IIROC’s rules/regulations. This includes all aspects of new and existing account documentation, marketing materials etc.
• Ensure necessary due diligence (e.g. accuracy of information) to support the accuracy of all client activities, i.e. Know Your Client etc.

JOB REQUIREMENTS

• Undergraduate Degree or Community College Diploma with over 3 years of experience working directly with, or in support of, the wealth management needs of clients
• Licensed with Canadian Investment Regulatory Organization (CIRO) as a Registered Representative (RR), required to maintain license in good standing
• Insurance licensed (LLQP in Quebec) or willingness to do so within 1 year
• Optional: Certified International Wealth Manager (CIWM) designation, Certified Financial Accountant (CFA), Chartered Investment Manager (CIM), or Certified Financial Planner (CFP)
• Robust conceptual and practical knowledge within an area of expertise and in broader areas
• Strong communication skills with ability to build relationships and work confidentially, independently as well as in a team

Please refer the Job description for details