Licensed Sales Assistant

  • Company:
    BMO Harris Bank
  • Location:
  • Salary:
    negotiable / monthly
  • Job type:
    Full-Time
  • Posted:
    3 weeks ago
  • Category:
    Sales

Under the direction of the Branch Operations Manager, this role is responsible for supporting the branch and Investment Advisor (IA) teams in achieving the business objectives of profitability, market share and Net Promoter Score (NPS). Key Accountabilities Business Delivery and Operational Effectiveness Support the IA’s sales and service objectives by delivering service initiatives to the IA’s clients which includes, but is not limited to, review of reports, follow-up on client inquiries and requests to ensure appropriate account maintenance; accept and process unsolicited orders over the phone or in person Contribute to the IA’s business objectives by ensuring the book of business is being developed including client meetings Ensure client needs are met or exceeded Project a professional and consistent image by adhering to organization’s brand, corporate identity and standards Liaise with various departments for execution of client requests and problem solving and other branch duties as assigned Coordinating marketing activities on behalf of several IAs Risk Management & Controls Ensure compliance regulations are adhered to Ensure proper adherence to all aspects of First Principles Our Code of Conduct and Ethics Follow security and safeguarding procedures and apply appropriate due diligence for the prevention of loss due to fraud, counterfeiting, money laundering or defalcation in accordance with Bank policy Cross Functional Relationships Develop productive working relationships with colleagues in the Branch, Division and across PCD Under the direction of the Branch Operations Manager, this role is responsible for supporting the branch and Investment Advisor (IA) teams in achieving the business objectives of profitability, market share and Net Promoter Score (NPS). Key Accountabilities Business Delivery and Operational Effectiveness Support the IA’s sales and service objectives by delivering service initiatives to the IA’s clients which includes, but is not limited to, review of reports, follow-up on client inquiries and requests to ensure appropriate account maintenance; accept and process unsolicited orders over the phone or in person Contribute to the IA’s business objectives by ensuring the book of business is being developed including client meetings Ensure client needs are met or exceeded Project a professional and consistent image by adhering to organization’s brand, corporate identity and standards Liaise with various departments for execution of client requests and problem solving and other branch duties as assigned Coordinating marketing activities on behalf of several IAs Risk Management & Controls Ensure compliance regulations are adhered to Ensure proper adherence to all aspects of First Principles Our Code of Conduct and Ethics Follow security and safeguarding procedures and apply appropriate due diligence for the prevention of loss due to fraud, counterfeiting, money laundering or defalcation in accordance with Bank policy Cross Functional Relationships Develop productive working relationships with colleagues in the Branch, Division and across PCD Knowledge and Skills: Basic / intermediate knowledge of investment process and procedures. Proactively and professionally provides assistance to IA(s) in order to meet client needs and IA(s) expectations Strong knowledge of administrative process and procedures Knowledge of proprietary products and services, and fund company offerings Working with head office and branch operations and administration areas as required Knowledge of compliance rules (proprietary and industry) Knowledge of trade processing rules Fixed income and money market product knowledge Knowledge of Navi Plan Financial Planning Knowledge of fund companies and funds offered in order to identify appropriate funds based on client needs Education / Experience: University degree or equivalent experience Computer literacy Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) Current registration as an Investment Representative (IR) 1.5 – 3 years of industry experience Canada – External (English): We’re here to help. At BMO we have a shared purpose; we put the customer at the centre of everything we do – helping people is in our DNA. For 200 years we have thought about the future—the future of our customers, our communities and our people. We help our customers and our communities by working together, innovating and pushing boundaries to bring them our very best every day. Together we’re changing the way people think about a bank. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset. To find out more visit us at https://bmocareers.com . BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. Knowledge and Skills: Basic / intermediate knowledge of investment process and procedures. Proactively and professionally provides assistance to IA(s) in order to meet client needs and IA(s) expectations Strong knowledge of administrative process and procedures Knowledge of proprietary products and services, and fund company offerings Working with head office and branch operations and administration areas as required Knowledge of compliance rules (proprietary and industry) Knowledge of trade processing rules Fixed income and money market product knowledge Knowledge of Navi Plan Financial Planning Knowledge of fund companies and funds offered in order to identify appropriate funds based on client needs Education / Experience: University degree or equivalent experience Computer literacy Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) Current registration as an Investment Representative (IR) 1.5 – 3 years of industry experience Canada – External (English): We’re here to help. At BMO we have a shared purpose; we put the customer at the centre of everything we do – helping people is in our DNA. For 200 years we have thought about the future—the future of our customers, our communities and our people. We help our customers and our communities by working together, innovating and pushing boundaries to bring them our very best every day. Together we’re changing the way people think about a bank. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset. To find out more visit us at https://bmocareers.com . BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. Wealth ManagementWealth ManagementCanada-Ontario-TorontoCanada-Ontario-TorontoBMO Wealth Management-X005000BMO Wealth Management-X005000full-timefull-time10/22/1810/22/1811/06/1811/06/18