Associate, RBC Dominion Securities Job Description
Associate, RBC dominion securities
provides assistant support for Manager’s accounts (telephone, portfolios, client information and follow through on service plan etc.).
Associate, RBC Dominion Securities Duties & Responsibilities
To write an effective associate, RBC dominion securities job description, begin by listing detailed duties, responsibilities and expectations. We have included associate, RBC dominion securities job description templates that you can modify and use.
Sample responsibilities for this position include:
Help maintain current knowledge of client accounts by reviewing daily activity and applicable reports
Cage back up as required
Support to other teams in the branch, as required
Maintain all branch supplies
Some Branch Technology Specialist responsibilities
Execute and follow-up on client orders/trades as directed by Portfolio Managers
Responsible for delivering training for the usage of technology within the branch
Review daily transaction
Open accounts and submit transfers
Organize client events / presentations
Associate, RBC Dominion Securities Qualifications
Qualifications for a job description may include education, certification, and experience.
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:
Client accounts by reviewing daily activity online and on applicable reports
Current market activity
Client accounts by reviewing daily activity on line and applicable reports
Policies and procedures regarding client accounts
Firm’s operations
Client accounts by reviewing daily activity and applicable reports
Handling discretionary accounts
Markets and economy
Procedures and policies
RBC Dominion Securities systems
Desired experience for associate, RBC dominion securities includes:
Canadian Securities Course (CSC) and Codes & Practices Handbook (CPH) is required OR must be currently enrolled with the intention of completing within six months
CSC & CPH is preferred
Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) required/successfully completed within the first 6 months of employment
Please note that the information below is intended for use for recruitment/advertising purposes and is based on the fields required within the TalentLink RMS.**
Strong written and communication skills in languages required
Candidate will be expected to continue their industry education based on the team’s need throughout their career including Completion of the Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH)
Associate, RBC Dominion Securities Examples
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Associate, RBC Dominion Securities Job Description
Job Description Example
Our innovative and growing company is looking for an associate, RBC dominion securities. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, RBC dominion securities
- 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
Qualifications for associate, RBC dominion securities
- 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
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Associate, RBC Dominion Securities Job Description
Job Description Example
Our company is looking to fill the role of associate, RBC dominion securities. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for associate, RBC dominion securities
- 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
Qualifications for associate, RBC dominion securities
- 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 )
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Associate, RBC Dominion Securities Job Description
Job Description Example
Our company is hiring for an associate, RBC dominion securities. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for associate, RBC dominion securities
- 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
Qualifications for associate, RBC dominion securities
- 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)
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Associate, RBC Dominion Securities Job Description
Job Description Example
Our growing company is looking to fill the role of associate, RBC dominion securities. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, RBC dominion securities
- 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
Qualifications for associate, RBC dominion securities
- 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
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Associate, RBC Dominion Securities Job Description
Job Description Example
Our company is hiring for an associate, RBC dominion securities. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, RBC dominion securities
- 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
Qualifications for associate, RBC dominion securities
- 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