Associate, RBC Dominion Securities Resume Samples
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Associate, RBC Dominion Securities Resume Samples
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M Buckridge
Marlee
Buckridge
7482 Casper Circle
Detroit
MI
+1 (555) 157 1965
7482 Casper Circle
Detroit
MI
Phone
p
+1 (555) 157 1965
Experience
Experience
Philadelphia, PA
Licensed Associate, RBC Dominion Securities
Philadelphia, PA
Gulgowski Group
Philadelphia, PA
Licensed Associate, RBC Dominion Securities
- Contact clients with specific buy/sell recommendations as directed by the team
- Prepare proposals to new & existing clients
- Utilize internal reports to proactively look for opportunities within portfolios
- Regularly act on client and IA research requests
- Online account maintenance
- Maintain client files
- Maintain Investment Advisor website
present
Dallas, TX
Associate, Rbc Dominion Securities St.john s
Dallas, TX
Kuphal and Sons
present
Dallas, TX
Associate, Rbc Dominion Securities St.john s
present
- Utilize contact management system for daily task management
- Perform daily administrative functions in a punctual, professional manner while providing the highest quality internal and external client service
- Provide world class client service to our valued clients
- Assist in preparing mailings such as seminars, newsletters, and information packages
- Assist Investment Advisor in preparing for client meetings, schedule meetings
- Assist with day to day portfolio review, asset allocation rebalancing, and executing & monitoring trades as directed by the Investment Advisors
- Follow-up on client trades to ensure proper settlement and delivery
Education
Education
Bachelor’s Degree in Current Market Activity Knowledge
Bachelor’s Degree in Current Market Activity Knowledge
Auburn University
Bachelor’s Degree in Current Market Activity Knowledge
Skills
Skills
- Maintain current knowledge of client accounts by reviewing daily activity online and on applicable reports
- Portfolio overview of client accounts
- Meet and greet prospects and clients, provide recommendations
- Prepare client portfolio evaluations prior to advisor/client meetings
- Build and maintain client relationships
- Execute and follow-up on client orders/trades as directed by Investment Advisor(s)
- Investigate and follow-up on client inquiries
- Utilize contact management system for all necessary follow up
- LI-GM1
- Minimal administrative work
1 Associate, RBC Dominion Securities resume templates
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1
Associate, RBC Dominion Securities Resume Examples & Samples
- Relevant industry experience - working in wealth management; minimum1-2 years (preferred)
- Workingknowledge of markets and economy
- Must have valid Canadian Securities Course (CSC) & Conduct and Practice Handbook (CPH); IIROC licensed preferred
- Must have strong communication skills (both oral and written)
- Good telephone manner
- High level of Customer Service
- Ability to successfully multi-taskand work in high pressure environment
- Strong Microsoft Office skills:with emphasis on Word, Excel and PowerPoint
- Methodical approach to problem solving
- Independent worker
- Advancedknowledge of administrationprocess atRBCDSpreferred
2
Associate, RBC Dominion Securities Resume Examples & Samples
- Excellent command of the English language, both verbal and written
- CSC & CPH is mandatory
- Ability to successfully work under tight deadlines
- Strong Microsoft Office skills, especially Excel and Word
3
Associate, RBC Dominion Securities Resume Examples & Samples
- Previous experience in the financial or brokerage industry
- Ongoing knowledge of current market activity
- Superior time management skills with the ability to multi-task and deliver results
- Canadian Securities Course (CSC) and Codes & Practices Handbook (CPH) or currently enrolled with the intent on completing within 6 months
4
Associate, RBC Dominion Securities Resume Examples & Samples
- Utilize contact management system for daily task management
- Assist in preparing mailings such as seminars, newsletters, and information packages
- Faxing and photocopying
- Word processing
- IIROC license an asset
5
Associate, RBC Dominion Securities Resume Examples & Samples
- Completion of Canadian Securities Course (CSC) and Conduct & Practice Handbook (CPH) preferred
- 1 or more years related work experience supporting an Investment Advisor or Portfolio Manager
- RBC Dominion Securities experience is strongly preferred
- Strong Microsoft Office skills; withAdvanced MS Excel skills (preferred)
6
Associate, RBC Dominion Securities Resume Examples & Samples
- Executing model changes to a discretionary portfolio model
- Strong computer skills, including design and implementation of portfolio modeling through Excel
- IIROC license
7
Associate, RBC Dominion Securities Resume Examples & Samples
- Relevant industry experience; minimum 1-2 years
- Working knowledge of markets and economy
- Must have valid Canadian Securities Course (CSC) & Conduct and Practice Handbook (CPH)
- Ability to successfully multi-task and work in high pressure environment
- Strong Microsoft Office skills: with emphasis on Word, Excel and PowerPoint
- Advanced knowledge of administration process at RBCDS preferred
8
Associate, RBC Dominion Securities Resume Examples & Samples
- Excellent command of English language, and fluency in speaking Mandarin
- Fluency in writing and reading Chinese
- CSC & CPH is required
9
Associate, RBC Dominion Securities Resume Examples & Samples
- Online account maintenance
- Fluent oral and written communication in English
- Completion of the CSC/CPH is required
- Previous brokerage industry experience is preferred
10
Licensed Associate, RBC Dominion Securities Resume Examples & Samples
- Completion of Canadian Securities Course (CSC) and Conduct & Practice Handbook (CPH) required
- 1 or more years related work experience
- Strong Microsoft Office skills; with Advanced MS Excel skills (preferred)
11
Associate, RBC Dominion Securities Resume Examples & Samples
- Keen interest in the investment world and/or previous experience in the financial/brokerage industry
- Strong organization skills
- Exceptional attention to detail and problem solving skills
- Strong Microsoft Office (including Excel skills)
- Canadian Securities Course (CSC) and Codes & Practices Handbook (CPH) are assets
12
Associate, Rbc Dominion Securities St.john s Resume Examples & Samples
- Ensure clients’ accurate and timely completion of all necessary documentation and forward to appropriate Branch contact
- Investigate and resolve inquiries related to accounts and refer to the Investment Advisor where appropriate
- If directed, follow-up on client trades to ensure proper settlement and delivery
- Excellent organizational and administrative skills required to perform activities in a deadline driven environment, working with constant interruptions
- IIROC License is an asset however the candidate should be ready to complete the Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) within 6-9 months
- An excellent command of the English language, both written and oral is mandatory, along with excellent organizational skills, superior problem solving ability, and a keen eye for details
- Strong Microsoft Office skills
13
Associate, RBC Dominion Securities Resume Examples & Samples
- Relevant industry experience
- Valid Canadian Securities Course (CSC) & Conduct and Practice Handbook (CPH) preferred
- Must have strong communication skills in English, Cantonese and Mandarin (both oral and written)
14
Senior Associate, RBC Dominion Securities Resume Examples & Samples
- Execute and follow-up on client orders/trades as directed by Investment Advisor(s)
- Meet and greet prospects and clients, provide recommendations
- Prepare client portfolio evaluations prior to advisor/client meetings
- Build and maintain client relationships
- Portfolio overview of client accounts
- Investigate and follow-up on client inquiries
- Utilize contact management system for all necessary follow up
- Minimal administrative work
- Minimum 3 years of financial/brokerage industry experience in managing client relationships and investment portfolios
- Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) is required
- Must be fully licensed as an Investment Representative (IR) or Registered Representative (RR) under IIROC
- Knowledge of the firm’s operations, policies and procedures regarding client accounts, including internal control policies is an asset
- Strong excel skills required for spreadsheets (updating portfolio modelling)
15
Associate Rbc Dominion Securities Resume Examples & Samples
- Client Service
- Input and follow-up on client orders as directed by IA’s
- Review daily transactions
- Ideal candidate will have highly developed client service skills that will come across as professional, warm and friendly to our clients both in person and on the telephone
16
Associate, RBC Dominion Securities Resume Examples & Samples
- Investigate and follow-up on all client inquiries
- Deal with client service issues and requests such as reorgs, tax reporting issues and maturities in a timely fashion
- Reactive order entry – client service and trade execution
- Fluency in Korean required (as well as reading and writing )
- CSC and CPH required
- Experience working in the Financial Industry
17
Junior Associate, RBC Dominion Securities Resume Examples & Samples
- Excellent communication skills (both written and oral)
- Canadian Securities Course (CSC) required
- Excellent organizational skills with the ability to successfully multi-task
18
Associate, RBC Dominion Securities Resume Examples & Samples
- CSC required, CPH preferred
- Mandarin and Cantonese language skills preferred
- Experience working in the Financial Industry in an Administrative Capacity
19
Associate, RBC Dominion Securities Resume Examples & Samples
- Previous brokerage or securities industry experience is mandatory
- Completion of the Canadian Securities Course (CSC) is required
- IIROC Licensing is preferred
20
Associate, RBC Dominion Securities Resume Examples & Samples
- Service clients in a pleasant, professional manner. Answer routine questions about their accounts within the established scope of the position's responsibility. Provide information such as account balances and other account-related information
- Build and maintain a professional rapport with clients
- Stay up to date on changing operational procedures
- Investigate and follow up on client inquiries
- Assist Investment Advisor in preparing for client meetings, schedule meetings
- Proactive marketing initiatives
- Maintain client accounts
- Print Reports and distribute accordingly
- Assist in preparing mailing such as seminars, newsletters, and information packages
- Involvement in client appreciation initiatives
- Experience in marketing is an asset
21
Associate, RBC Dominion Securities Resume Examples & Samples
- Completed Canadian Securities Course (CSC) & Conduct and Practices Handbook Course (CPH) preferred or willingness to complete immediately after start of employment
- General administration or office experience is strongly preferred
- Previous experience in the financial/brokerage industry an asset
22
Senior Associate, RBC Dominion Securities Resume Examples & Samples
- 2–3 years of experience in an Associate role or an equivalent role within the industry
- Ability to comprehend the firm’s operations, policies and procedures regarding client accounts, including internal control policies
- Superior problem solving skills and attention to detail
- Exceptional organization and time management skills with the ability to multi-task
- Strong written and communication skills and a passion for serving clients in person and on the telephone
- Strong Microsoft Office and Excel skills
- A high degree of current market activity knowledge is an asset
- We are looking for an individual who is a dedicated team player. We offer a rewarding and challenging working environment, with the opportunity to grow within the team
23
Licensed Associate, RBC Dominion Securities Resume Examples & Samples
- Reviewing portfolio models and designing systems to re-balance client portfolios
- Completion of the CSC / CPH
- Ability to deal with varying personalities of internal and external clients
24
Associate, RBC Dominion Securities Resume Examples & Samples
- Ability to prioritize daily tasks, multi-task, and deal with a variety of personalities (internal &
- External)
- Good technology skills
25
Licensed Associate, RBC Dominion Securities Resume Examples & Samples
- Effective communication skills and professional telephone manner,
- Exceptional attention to detail and mature/positive attitude and superior time management skills
- Ability to multi-task, prioritize daily tasks, and deal with a variety of personalities (internal & external)
- Knowledge of the firm’s operations, policies and procedures regarding client accounts, including internal controls policies
26
Associate, RBC Dominion Securities Resume Examples & Samples
- Administrative
- Investigate and resolve inquiries and complaints related to accounts and refer to the Investment Advisor where appropriate
- Monitor all pending plan transfers to ensure completion in a timely manner
- Documentation & New Accounts Openings
- Experience in or interested in working in the Financial Industry
- Enrolled in or interested in enrolling into the CFA or CFP program
