Financial Services Associate

The Financial Associate focuses on providing Popowich Karmali Advisory Group Clients with exceptional Client Service, being the first point of contact for high net worth clients, and managing and building strong client relationships.

The role also includes the creation and execution of investment strategies under the direction of the PKAG advisor team, and the explanation and education about those strategies for clients.

Position Requirement

1) CIRO Licensed as a Registered Representative (RR)

2) CFP preferred

3) Insurance Licensed (LLQP) preferred

4) Other regulatory required courses (as needed)

5) At least 3 years of experience in wealth management, in a client-facing role

Main Duties

Understand and Articulate PKAG’s 4 Bucket Process, and how we do what we do.

o Be able to communicate the why :

• Financial Plans
• Health and Income Buckets
• Growth Buckets
• Tax Strategies
• Face-to-face client meetings
• Provide investment advice and wealth strategies to clients under the direction / review of the PKAG Advisor
• Using your excellent relationship and communication skills you will manage, build and retain strong relationships, with an assigned group of PKAG clients.

o Understand the client needs and document information about your client families through Client Relationship Software (CRM).

o Proactively contact clients following up on strategic needs using 4 bucket concepts

o Be your client’s Primary Contact for all inquiries. Research and Educate clients on a variety of Financial Topics, using CIBC Wood Gundy Resources.

This would include, but not limited to :

• Account operations and functions for all account types offered by the Popowich Karmali Advisory Group
• Understand and explain the rules and implications of withdrawals / deposits in different accounts
• Take instructions from clients to transfer in or out funds, TFSA, RRSP Contributions, etc., and inform clients of where the funds will be allocated (i.

e. PKAG Growth Bucket, Income Bucket, etc.)

• Build / Generate Ideas on the development of Investment Plans, presenting to the client with approval of PKAG IA (i.e. Income Bucket),
• High level Strategic Wealth Planning to be reviewed by a PKAG IA(s) prior to execution

o Generate referral opportunities from clientele by providing Legendary client service

• Consolidations
• Insurance Opportunities
• New Client Referrals

o Identify client opportunities

Trading

o Complete account re-balances as required (target or full)

o Complete trades to free cash to send to clients, either Ad Hoc, or through systematic payments.

o Understand and recognize trading rules (ex. Hold Periods on MFs), and alert the PM Team of any potential issues.

Work with Financial Associate and Client Associate team to ensure all administrative needs for clients are looked after in an organized, timely manner;

responsible for managing workflow and delegation between Financial Associate and Client Associate(s)

• Other tasks as requested
7 days ago