Client Service Assistant

Role overview

Client and advisor support

• Book prospect meetings and prepare introductory packages.
• Coordinate advisory-team marketing, social media, client recognition, and events.
• Schedule and prepare portfolio reviews, client calls, and meetings; provide updates to Investment Advisors.
• Follow up on inquiries and handle account maintenance, new accounts, transfers, and requested fund movements.
• Resolve complaints and handle day-to-day account, money movement, technology, and account-opening requests.
• Execute client-initiated trades by phone or in person and provide stock information when requested.

Administration and team operations

• Prepare reports and documents, process account and file items, and maintain client databases and files.
• Monitor asset movements and alert Investment Advisors to actions needed to rebalance portfolios.
• Process client documentation and regulatory requirements, and monitor regular account redocumentation.
• Coordinate task assignments and completion; mentor junior colleagues and support team members with technology, procedures, and escalations.

Client relationships and risk

• Assist with managing client portfolios and supporting individual investment needs with Investment Advisors.
• Build client confidence and support retention through professional, customized investment-related advice, sales, and service.
• Follow risk and compliance policies, safeguard assets and privacy, protect confidential information, and comply with legal and ethical requirements.
• Analyze issues, determine next steps, and make sound risk-informed decisions within applicable policies and risk appetite.

Qualifications

• Typically 3–5 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.
• Advanced knowledge of proprietary products and services to identify client needs and advise Investment Advisors.
• Knowledge of compliance practices and regulations, financial and retirement planning, and trade processing rules.
• Must meet licensing and certification requirements for the relevant branch or jurisdiction.
• Knowledge of insurance and group products, and of trust and estate services, is an asset.