Client Service Associate

Role Overview

Client and Advisor Support

• Book prospect meetings and prepare introductory packages for prospects and referrals.
• Coordinate team marketing, including website and social media initiatives, client recognition, and client events.
• Schedule and help prepare portfolio reviews, client calls, and meetings, and update Investment Advisors.
• Handle client inquiries, account maintenance, new accounts, transfers, and client-requested movement of funds.
• Resolve complaints promptly and effectively, escalating when required.
• Accept and execute client-initiated trades by phone or in person and provide stock information on request.
• Handle day-to-day requests involving money movement, technology issues, and account openings or updates.
• Generate reports and documents, process client account items, and maintain client databases and files.
• Monitor incoming and outgoing assets and notify Investment Advisors of rebalancing actions.
• Process regulatory and client-file documentation and monitor periodic account redocumentation.

Team, Risk, and Compliance

• Ensure team tasks are assigned and completed; mentor and coach new or junior team members.
• Support colleagues with technology, procedures, policies, processing questions, and escalations; distribute business updates.
• Follow risk and compliance processes, protect client and bank assets and information, and comply with regulatory, legal, and ethical requirements.
• Complete complex and diverse tasks within established rules and limits, analyze issues, and determine next steps.

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 processes and procedures and administrative procedures in the Sales Administration Manual.
• Advanced knowledge of proprietary products and services for identifying potential solutions to client needs and advising Investment Advisors.
• Knowledge of compliance practices and regulations, financial and retirement planning, and trade processing rules.
• Must meet licensing and certification requirements for the branch or jurisdiction where the mandate is fulfilled.
• Knowledge of insurance and group products and of trust and estate services is an asset.

Additional Scope