Client Service Assistant/Associate, BMO Nesbitt Burns

Role overview

Client and advisor support

• Book prospect meetings, prepare introductory packages, and coordinate team marketing, website and social media activities, client recognition, and events.
• Schedule portfolio reviews, client calls, and meetings; prepare reviews and provide updates to investment advisors.
• Follow up on inquiries and handle account maintenance, new accounts, transfers, and requested movement of funds.
• Accept and execute client-initiated trades by phone or in person and provide stock information as requested.
• Resolve complaints, handle day-to-day inquiries, and provide timely and confidential follow-up.
• Generate reports and documents, maintain databases and files, and process client account items.
• Monitor assets and notify investment advisors of actions needed to rebalance portfolios.
• Administer regulatory documentation and monitor periodic client-account redocumentation.
• Coordinate task assignment and completion; mentor junior team members and support staff with technology, policies, and procedures.
• Assist with client portfolio retention and growth and support individualized investment needs, sales, and services.

Qualifications

• Typically three to five years of relevant experience and/or certification in a related field, or an equivalent combination of education and experience.
• Advanced knowledge of investment and administrative processes and procedures, proprietary products and services, compliance practices, and regulations.
• Knowledge of financial and retirement planning and trade processing rules.
• Must meet licensing and certification requirements for the branch or jurisdiction where the role is fulfilled.
• Insurance and group products knowledge and trust and estate services knowledge are assets.

Risk and compliance

• Follow risk-management and compliance processes, protect bank and client assets, maintain privacy, and act in clients' best interests.
• Comply with applicable regulatory, legal, ethical, policy, and confidentiality requirements.
• Analyze issues, determine next steps, and complete complex tasks within applicable rules and limits.

Additional accountabilities