PIA Client Service Associate

PIA Client Service Associate

Requirements

• Undergraduate Degree or Community College Diploma required
• Completion of the Canadian Securities Course and Conduct and Practices Handbook
• Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative (IR) required
• Registered Representative (RR) with Wealth Management Essentials (WME) completion is an asset

Responsibilities

• Prepare documentation and provide updates to IA(s) in preparation for client meetings
• Create reports for analysis of client accounts
• Accept/create leads & ensure correct referral coding on TD Leads
• Review newly posted marketing content and determine if relevant for clients; submit marketing pieces for approval and compile client information packages
• Familiarity and adherence to compliance requirements as outlined in PIA’s policies and procedures, including all aspects of new and existing account documentation and marketing materials
• Provide a high level of Client service for all non-advice activities which includes responding to client requests via phone and email based on knowledge of full service brokerage
• Deliver a legendary (gold standard) client experience
• Execute the tasks related to the Sales and Client Engagement model/client segmentation and support 4 Wealth pillars
• Provide market quotes and track Dividends, RSPs, RIFs
• Prioritize and manage own workload to meet SLA requirements for service and productivity
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Protect the interests of the bank – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Use insights into how the customer or sales team integrates with other teams to coordinate efforts and resources to achieve shared objectives
• Monitor service, productivity and assess efficiency levels within own function
• Implement continuous process / performance improvements where opportunities exists
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities;
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand champion for your business area/function and the bank, both internally and/or externally

Preferred Qualifications

• Registered Representative (RR) with Wealth Management Essentials (WME) completion is an asset