Associate, RBC Dominion Securities Job Description
Associate, RBC Dominion Securities Duties & Responsibilities
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Associate, RBC Dominion Securities Qualifications
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Education for Associate, RBC Dominion Securities
Typically a job would require a certain level of education.
Employers hiring for the associate, RBC dominion securities job most commonly would prefer for their future employee to have a relevant degree such as University and Collage Degree in Business, Graduate, Economics, Secondary Education, Marketing, Finance
Skills for Associate, RBC Dominion Securities
Desired skills for associate, RBC dominion securities include:
Desired experience for associate, RBC dominion securities includes:
Associate, RBC Dominion Securities Examples
Associate, RBC Dominion Securities Job Description
- Follow-up on client trades and transactions to ensure proper settlement and delivery
- Prepare and make courtesy calls and review client accounts
- Support in wealth management
- Enter trades in a timely and accurate manner
- Assist Investment Advisor in preparing for client meetings
- Prepare client review materials, correspondence and reports
- Investigate and resolve inquiries related to accounts and escalate to the Investment Advisor, Branch Management where appropriate
- In addition will be cross trained in the cage to for backup/vacations
- This position is primarily administrative in focus, with 90% of the work being administrative in nature
- Ensure daily communication with the Investment Advisor team
- Canadian Securities Course (CSC) and Codes & Practices Handbook (CPH) is preferred
- Minimum 2 years Licensed Associate experience required
- Completion of the CSC/CPH is preferred
- 24- 36 months experience in Associate role or equivalent role responsibilities within the industry
- Fundamental working knowledge of chequing, savings, RRSP, LIRA, RRIF, LIF and TFSA accounts is essential
- Fluency in reading, speaking and writing French is preferred
Associate, RBC Dominion Securities Job Description
- Deal with varying personalities with internal and external clients
- Make recommendations to buy, sell or switch securities only if directed by IA’s
- Complete daily requests related to client accounts
- Maintain current knowledge of client accounts and resolve client inquiries
- Manage a small group of clients, under the guidance of the Investment Advisor
- Meet all clearly defined processing deadlines
- Deal with all clients over the phone and in person in a courteous and pleasant manner
- Prepare all daily deposits and deal with incoming and outgoing funds as required
- Support Branch Management with all administrative duties as required, including managing office supplies, scheduling boardrooms, and providing support to the Business Administrator as needed
- General Projects and other duties as assigned
- Must be currently licensed by IIROC as a Registered Representative (RR) or Investment Representative (IR)
- Previous experience working with a discretionary advisor
- Fluent in speaking Taiwanese and Mandarin
- Valid Canadian Securities Course (CSC) required & Conduct and Practice Handbook (CPH) preferred
- Must have strong communication skills in English, and Mandarin (both oral and written)
- Fluency in Korean required ( reading and writing )
Associate, RBC Dominion Securities Job Description
- Manage the portfolio review process – utilize tools available
- Support Portfolio Manager with best service possible while always considering bottom line profitability
- Responsible for qualifying prospects, referrals, and other opportunities
- Manage the portfolio implementation, trading, quarterly re-balancing process
- Research - Track and monitor all products in portfolio, maintain targets and other technical info on all positions, understand and follow direction of firm
- Lots of paperwork! Help clients open new accounts, and update existing account information
- Interact with clients on a daily basis by phone, email, and in-person
- Liaise with back office contacts to investigate and resolve inquiries related to accounts and account transactions
- Follow-up on client requests and transactions from the previous day to ensure proper settlement and delivery
- Complete various compliance-related projects
- Canadian Securities Course (CSC) and Conduct & Practice Hanbook Course completed (preferred)
- Canadian Securities Course (CSC) or related financial post-secondary education
- 3 years experience in a client management role (or equivalent role responsibilities within the investment industry)
- Excellent client service skills that are viewed by clients as professional, warm and friendly
- A working understanding of capital markets, equities, fixed income and alternatives with a commitment to retail advisory
- Undergraduate degree or an equivalent recognized professional designation (CFP, PFP, CIM)
Associate, RBC Dominion Securities Job Description
- Open new accounts, and update existing account information
- Portfolio management & execution (Bulk trading/Rebalancing/PIM Dashboard, Asset allocation management, TAC sheet management, Account and family management, Client communication ,New Issue management, Tax Management, Review preparation
- Support PM with client service on portion of portfolio
- Marketing- (Manage all marketing and BD material, Proposal management and marketing preparation and Website management)
- Administration - Understand all aspects of administration tasks to back up Administrative Assistant, Account openings and reporting
- Primary administrator for marketing asset management website, MyMarketing, including user help support
- Coordinate reprints, updates of marketing assets with key head office partners
- Co-ordinate and maintain promotional programs including relationships with vendors
- Administer day-to-day invoicing and billing, expenses, team name approval lists, vacation and absence management, intranet updates, courier/mail, office supplies, equipment and new hire set-up
- Manage schedules and delivery timelines for tradeshow booths and signage for seminar/events for sales force
- Canadian Securities Course (CSC) is recommended or willingness to obtain
- Completion of Canadian Securities Course and Conduct & Practices Handbook course strongly preferred
- Willingness to complete the Canadian Securities Course (CSC) & Conduct and Practices Handbook Course (CPH)
- Must have Post Secondary Education ( College or University )
- Must have completed the Canadian Securities Course (CSC)
- CSC & CPH completed or willing to complete the exams within 12 months of hire
Associate, RBC Dominion Securities Job Description
- Provide ongoing assistance and support on special projects as determined by management
- Organize seminars
- Attract new HNW clients
- Provide seamless service onboarding new clients
- Investigate and resolve account-related inquiries
- Utilize contact management system for daily task management and client record-keeping
- Assist the Portfolio Manager in preparation for client meetings
- Organize client meetings with Wealth Management specialists
- Assist with projection analysis, portfolio modeling, and tax preparation
- Deliver a consistently exceptional level of client service to a sophisticated clientele
- A deep working understanding of capital markets, equities, fixed income, and alternatives
- Exceptional written skills, and attention to detail
- Language skill preferred – Mandarin / Cantonese
- Experience working in the Financial Industry preferred
- Organizational and administrative skills required to perform activities in a deadline driven environment, working with constant interruptions is essential
- Must have CSC, CPH and be IIROC Licensed