Licensed Financial Advisor Assistant

Raymond James Independent Financial Services, Filo Financial Solutions is seeking a Licensed Assistant to work in our Calgary location. Raymond James Ltd. is one of Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Drawing on at least two years previous experience as a Licensed Administrative Assistant in a financial services firm, the candidate must have a meticulous attention to detail, possess a positive attitude and have exceptional interpersonal skills, as they will be dealing directly with clients. The successful candidate must also be responsible, self-motivated and a team player.

This position’s primary focus is to assist Financial Advisors build their business using strong administration, communication and interpersonal skills.

Specifically, you will:
• Process and follow-up on security transactions, transfers and account openings;
• Trading once licensed
• Review and management of daily, debits, credits and inbound/outbound transactions
• Manage incoming and outgoing phone calls with clients;
• Foster and support client relationships; ability to help develop and build business is an asset
• Open accounts and manage all documentation requirements;
• Update accounts and create portfolio reviews;
• Review KYCs and risk profiles to ensure accounts are up-to-date
• Foster and support client relationships by liaising with clients, respond to requests and proactive problem solving;
• Be involved in preparing correspondence and reports, event planning and coordination;
• Review and process all cheques, banking and stock certificates from clients;
• Maintain Financial Advisor files and other general office duties.
• Data entry for financial plans
• Download tax slips and connect clients to online account access
• Cover office phone lines and respond to general inquiries
• Coordinate office supplies
• Perform project-based work and basic marketing
• Maintenance of social media posts and website changes sent to head office

To qualify for this opportunity, you possess:
• A minimum of 2 years investment industry experience or post secondary equivalent;
• Completion of the Canadian Securities course as well as the Conducts and Practices Handbook; and WME
• Insurance license is an asset but not required – will be required to understand the insurance websites for assistance on software quotations and preparation of client docs for the application process
• Experience with Dataphile or equivalent transaction software including discretionary platform;
• Superior customer service skills;
• Proficiency with Microsoft Office (Word, Excel, PowerPoint & Outlook), and contact management software including integration of AI to be more efficient;
• The ability to handle confidential information;
• Excellent verbal and written communication skills;
• The ability to work in a team environment and demonstrate a professional and friendly manner;
• Strong organizational and problem-solving skills;
• Meticulous attention to detail, ability to work under deadlines
• Ability to participate in community building

If you are interested in joining our team, please submit your cover letter and resume and cover letter, quoting the position to:

Filomena May
Filo Financial Solutions | Raymond James Ltd.
Suite 605, 2424 - 4th Street SW, Calgary AB, T2S 2T4
403.457.9270
[email protected]

We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check.

We thank all candidates for their interest and advise that only those under consideration will be contacted.

Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique skills and special contribution of each employee. We are committed to accessibility for candidates through all stages of the recruitment process. Should you require accommodation, please contact us using the above details and we will be happy to help.