Investment Advisor Associate

About the role

RBC Dominion Securities is a relationship-focused investment and wealth management firm. As an Investment Advisor Associate you act as an internal and external point of contact, helping maintain client accounts, keeping account administration and documentation up to date and compliant, and supporting Investment Advisors in managing client portfolios and wealth management planning. The position is full time, salaried, with 37.5 hours per week.

Key responsibilities

• Assist with managing client investment portfolios, including executing trades directly into the capital markets, portfolio re-balancing and trade settlement
• Process client wire payment and securities transfer requests
• Review daily reports promptly to follow up on client transactions
• Ensure client files and documentation are accurate and compliant with internal controls and regulatory requirements
• Help welcome and onboard new clients, ensuring compliance with regulatory, AML and RBC policy requirements
• Maintain client service plans, tracking timelines and key dates for client contact
• Respond to client inquiries and manage incoming communications from clients, colleagues and partners
• Coordinate and prepare for meetings with clients or prospects
• Provide marketing and administrative support for electronic and physical communication channels
• Support the wealth management process and keep an audit of wealth management activities

Required profile

• Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH), or the ability to obtain them within 6 months of employment
• Derivatives Fundamentals Online (DFOL) as required by the role and client portfolio complexity
• A relevant university degree
• Relevant international financial services experience and willingness to engage in continuing education
• Nice to have: knowledge of RBC Dominion Securities' systems and procedures, securities industry experience and familiarity with wealth management

Required skills

• Strong skills with business applications and technology, including Microsoft Office Suite
• Good time management and organisation
• Professional, warm and friendly client service, with strong verbal and written communication

What we offer

• A competitive compensation package including salary, bonus and pension
• Health insurance and comprehensive benefits
• Coaching and development opportunities with supportive leaders