Description

• Responsible for answering incoming calls from financial advisors, dealers, and customers.
• Answer inquiries about products, accounts, and transaction information.
• Resolve issues and process client requests.
• Strive to maintain and exceed the firm's service standards.
• Provide ongoing continued support to build strong relationships with advisors and dealers.

Description

• Develop leads, schedule appointments, and handle administrative tasks.
• Service client needs and identify new business opportunities.
• Generate new business sales through prospecting activities and establishing referral channels.
• Maintain up-to-date product and industry knowledge.

Description

• Perform administrative tasks such as scheduling appointments, preparing documentation, and marketing activities.
• Provide ongoing service and support to clients.
• Respond to client inquiries in a timely, responsive manner.
• Resolve issues affecting client transactions expeditiously and accurately.
• Identify opportunities to increase revenue within the existing client base.
• Maintain up-to-date product and industry knowledge.

Description

• Proactively establish, develop, and maintain strong client relationships through regular contact and by providing timely, value-added information, advice, and recommendations.
• Engage with new and existing clients to understand their long-term and short-term financial goals and objectives.
• Present customized financial recommendations, offer investment advice, and complete sales.
• Network regularly with existing clients and prospects/referrals to build and grow the practice.

Description

• Work with clients to address their risk management and insurance needs.
• Perform needs analysis and recommend suitable insurance products.
• Conduct business development activities to acquire new clients.
• Establish and develop strong client relationships.
• Maintain a sound level of product, procedures, systems and industry knowledge, across specific product lines.
• Process transactions and maintain accurate records.

Description

• Engage with new and existing investors to help them determine the appropriateness of investing in exempt products.
• Present investment offerings, provide investment advice, and complete sales.
• Employ business development activities to attract new investors.
• Maintain a deep understanding and technical knowledge of offerings to provide the best advice for prospective investors.

Description

• Responsible for answering incoming calls from financial advisors, dealers, and customers.
• Answer inquiries about products, accounts, and transaction information.
• Resolve issues and process client requests.
• Strive to maintain and exceed the firm's service standards.
• Provide ongoing continued support to build strong relationships with advisors and dealers.

Description

• Process the opening of new accounts on the back-office/shareholder system.
• Process account documentation to ensure that all information has been submitted and is complete.

Description

• Process and input transactions on the back-office/shareholder system.
• Process transaction documentation to ensure that the information is complete and accurate.

Description

• Monitor, facilitate, and ensure the successful settlements of trades.
• Communicate with branches, fund companies and/or internal departments to identify, investigate and resolve settlement problems.
• Submit transmissions for settlements.

Description

• Responsible for reconciling the client accounts and positions on the dealer's books and records against those held at the fund company.
• Responsible for resolving exceptions identified in the reconciliation process.

Description

• Process all fund-related transactions (e.g., set up new accounts, process purchases, transfers, switches, redemptions).
• Process adjustments, such as correcting errors on fund accounts including reversal and reprocessing of all transaction types.
• Communicate with internal parties (Client Administration, Client Services, Marketing and Accounting Departments) and external parties (Advisors) to resolve day-to-day issues and inquiries relating specifically to fund processing.

Description

• Reports to the Ultimate Designated Person (UDP).
• Responsible for establishing and overseeing the firm's compliance regime, policies, and procedures.
• Primary duties are to oversee the supervision of the firm to ensure compliance with legislation and regulations.
• Responsible for escalating and advising on activity that violates legislation and regulations to the UDP and reporting on the status of the firm's compliance to the Board of Directors.

Description

• Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
• Responsible for identifying non-compliant conduct, breaches, and violations.
• Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.

Description

• Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
• Responsible for identifying non-compliant conduct, breaches, and violations.
• Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.
• Conduct branch audits within the coverage area.
• Provide training, guidance, and support to the branches on regulatory initiatives.

Description

• Responsible for the registration process and filings on the National Registration Database (NRD).
• Provide guidance to employees and branches on registration matters.
• Responsible for keeping abreast of regulatory changes and requirements that impact registration.
• Maintain communication with regulators concerning matters on registration.

Description

• Responsible for approving new accounts and conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
• Responsible for identifying non-compliant conduct, breaches, and violations and effecting corrective action.
• Responsible for ensuring that the branch provides excellent customer service.
• Provide training, guidance, and support to advisors and branch staff.
• Oversee the day-to-day operations of the branch.

Description

• Acting as an alternate to the Branch Manager in the Branch Manager's absence.
• Responsible for approving new accounts and conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
• Responsible for identifying non-compliant conduct, breaches, and violations and effecting corrective action.
• Oversee the day-to-day operations of the branch in the Branch Manager's absence.