Investment Client Services – Hands-on supervisory role

  • Company:
    Hunt Personnel/Temporarily Yours
  • Location:
  • Salary:
    negotiable / month
  • Job type:
  • Posted:
    3 days ago
  • Category:
    Customer Service

This is a new role reporting to the Supervisor, New Accounts and Document Management working in partnership with  Investment Advisors and Assistants, as well as Compliance and Client Services Departments.

As a Team Lead, you will be responsible for providing exemplary service to clients and advisory groups by ensuring new and existing account information is complete and accurate, in accordance with regulatory compliance, tax, trust and estates. The ideal candidate is a strong communicator and critical thinker with solid investment industry experience. To be successful in this role, you will need to be seasoned and adept in learning new rules, concepts and systems quickly, in an ever-changing regulatory environment.


· Provide expert advice in processes and best practices related to account opening to advisors and their teams.

· Deliver excellent client service by responding to inquiries accurately and in a timely fashion.

· Partner with Compliance, Corporate Actions and Tax, as well as Trust and Estate Departments to remain current on new developments, anticipate impact to existing processes and execute changes as required.

· Communicate department initiatives, changes and updates to designated portfolio group.

· Review, audit and update new and existing client account applications and information, in accordance with rules and regulations related to compliance, tax, trust and estates.

· Ensure standard operating procedures are followed and service level agreements are met in a fast-paced, service-driven environment.

· Maintain up-to-date knowledge of fee structure models to administer account fees.

· Identify opportunities to streamline processes for operational efficiencies and collaborate with team members to document new and existing processes

Engage in continuous learning and development to increase knowledge as a subject matter expert.

· Participate in cross-functional department reporting, audit and review projects

Knowledge and Experience Requirements:

  • Minimum of 4 years of investment industry experience in New Accounts, Client Services, Compliance or similar function.
  • Minimum of 2 years’ people management and leading a team
  • Expertise in advising a portfolio of internal clients and committed to delivering service excellence.
  • Experience in compliance, corporate actions, tax, trust and estates a significant asset
  • Strong leadership and relationship building skills, good judgement, risk assessment ability
  • Self-starter and continuous learner with the capacity to work independently, along with flexibility and willingness to assist others.
  • Strong multi-tasker who can manage a high volume of work
  • Critical thinker and skillful decision maker, adaptable in a changing regulatory environment.
  • Excellent organizational skills, able to prioritize important and time-sensitive tasks.
  • Ability to work efficiently and accurately in a fast-paced dynamic environment with a sharp eye for detail.
  • Strong communication and presentation skills.
  • Experience with the Broadridge Dataphile platform or similar bookkeeping system.
  • Proficiency in MS Office (Word, Excel and Outlook).
  • Experience with the PureFees platform is an asset.
  • Completion of securities and investment industry related courses considered an asset
Salary flexible.  Please send your resume to the attention of Kristel Rundmann.