JOB TITLE:  Associate Finanical Advisor

 

BRANCH NAME:  Ferguson Financial Planning, an independent branch of Assante Capital Management Ltd.  

 

BRANCH LOCATION:  Mississauga, ON

 

POSTING DATE:  May 18, 2023

 

APPLICATION DEADLINE:  June 15, 2023

 

HOURS PER WEEK:  9:00a.m. - 5:00p.m., Monday to Friday

 

CONTACT:  Jacqueline Ozdemir (JOzdemir@assante.com)

JOB DESCRIPTION

We are currently seeking an Associate Financial Advisor to join our team in Mississauga. In this role, the successful candidate will be an enthusiastic and positive person with excellent organizational, communication and computer skills and is expected to meet with clients and provide on-going investment and financial advice. Our team takes great pride in providing timely, courteous service to clients.

 

This role is for the Ferguson Financial Planning team of Assante Capital Management. 

 

RESPONSIBILTIES:

• Contacting clients and setting up meetings to review their investment portfolio and provide ongoing investment advice to approximately 200 client households.
• Conduct in-depth reviews of client’s financial circumstances and determine their financial objectives and goals.  Based on the information gathered prepare a detailed Financial Plan and present that Plan to them.
• Research the market place and provide clients with information on new and existing products and services.  
• As part of your marketing initiatives you may be required to assist with prospecting seminars or client appreciation events. These events may take place during non- business hours, but will not exceed more than one event per month.  
• Manage the client database through Salesforce.  Notes for all client meetings to be maintained in Salesforce and any changes to client’s situations to be updated accordingly.  
• Work with clients, as required, to assist them in obtaining bank financing, getting their Wills & Powers of Attorney prepared, incorporating their businesses and resolving income tax related issues.  
• Attend our weekly staff meeting.  
• Adhere to all compliance and regulatory requirements, including CE credit requirements for all licenses. License renewals will be paid for by Steve Ferguson and Remy Pattynama.  
• Responsible for keeping Client KYCs updated per latest IIROC requirements.  
• It is expected that the Associate Financial Advisor be IIROC licensed or complete the requirements for IIROC Licensing within 6 months of hire (with exception of the WME exam which will take place within 24 months of hire).  
• Work collegially and productively with clients, peers, and other team members.

 

QUALIFICATIONS

EXPERIENCE

• A minimum of two (2) year sales and client service experience within the investment industry 

EDUCATION/TRAINING

• Post-secondary education 
• Professional designation such as Chartered Professional Accountant (CPA), Chartered Financial Analyst (CFA), Certified Financial Planner (CFP) or MBA 
• Successful completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) prior to hire date (valid & completed within the last three years); 
• Upon hire, the Assante Wealth Management 90-Day training program must be successfully completed; 
• Successful completion of the Wealth Management Essentials Course (WME) within 24 months of hire date; 
• Successful completion of Insurance License within 24 months of hire date

KNOWLEDGE, SKILLS, & ABILITIES

• Must demonstrate excellent knowledge and understanding of the relevant securities legislation and SRO rules and regulations
• Proven skills in financial literacy and/or advice capacity with the ability to educate and convey important financial goals and concepts to prospects and clients.
• Strong client service, and cross-selling skills to build/maintain relationships with prospects, clients, employees and management
• Ability to meet deadlines and work effectively under pressure
• Excellent interpersonal/relationship building and communication skills: verbal, written and presentational
• Proficient with MS Office Suite (Word, Excel, Outlook, & PowerPoint).
• Experience with Salesforce and Naviplan a strong asset

 

ADDITIONAL NOTES

 

Ferguson Financial Planning, an independently owned and operated branch of Assante Capital Management Ltd., we welcome and encourage applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the recruitment process. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

 

Please apply with your current resume and a cover letter to:

 

Jacqueline Ozdemir (JOzdemir@assante.com)

 

We thank all applicants but only those selected for an interview will be contacted.