QUALIFICATIONS AND SKILLS

• Bachelor’s degree in finance, business administration, or a related field, 1-2 years of relevant experience in the securities brokerage industry is preferred.
• Strong understanding of IIROC regulations, securities trading, and client account management.
• Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) certifications are considered assets.
• Excellent organizational skills with the ability to prioritize and manage multiple tasks in a fast-paced environment.
• Proven problem-solving skills and a proactive approach to addressing challenges.
• Strong communication and interpersonal skills, with a commitment to delivering outstanding service.
• Experience with investment dealer platforms and back-office systems is preferred

• Provide daily operational and administrative support to independent investment advisors, ensuring timely and accurate execution of trades, transfers, and account maintenance.
• Act as the first point of contact for advisors, addressing inquiries related to account management, compliance, and platform navigation.
• Ensure all transactions comply with IIROC regulations, internal policies, and industry standards.
• Identify and promptly resolve operational issues, offering solutions to improve processes, systems, and client satisfaction.
• Collaborate with internal teams, including compliance, operations, and trading desks, to ensure seamless service delivery.
• Maintain accurate records of client interactions, transactions, and account activities.
• Support the onboarding of new advisors and clients by ensuring all documentation is complete and compliant.
• Assist with special projects, system upgrades, and process optimization initiatives aimed at enhancing the advisor experience.