Investment Specialist / Financial Planner

  • 3-5 Year
  • Windsor
  •   Posted On: April 14, 2018
  •   Skills:  Communication, Financial Planning, Interpersonal, Wealth Management

Job Overview

Roles & Responsibilities

Key Accountabilities

Promote the development and sustainable growth of proprietary investment business in the assigned market area by: 

Developing and implementing a structured business development strategy according to agreed-upon growth objectives 

Developing strategic sales plans for prospects and existing clients

Conducting outbound communications and cold-calling to prospects to remain top-of-mind for future business opportunities

Providing clients with an initial review of their existing financial plan or creating a new financial plan

Conducting complimentary needs analysis across several financial statements, including competitor statements

Conducting market research to understand market trends

Building and maintaining a market profile in the assigned market area

Participating in local professional and community events and associations to develop and expand your network

Identifying opportunities to deliver community information sessions and financial seminars to grow prospects

Networking with investment industry specialists while managing a small budget for independent marketing-based activities

Identifying additional investment business development opportunities and facilitating the implementation of an investment solution and/or referral to the appropriate Wealth Management partners

Facilitating a culture of open and honest communication by actively participating and contributing to one-on-one touch bases and meetings with team members

Minimize the Bank’s exposure to risk by:

Contributing to operational excellence and a satisfactory audit 

Staying current on regulatory compliance, Know Your Client (KYC) and custody requirements and changes

Adhering to compliance with regulatory activities and guidelines as part of the sales process, including Privacy, Anti-Money Laundering(AML)/Anti-Terrorist Financing, Financial Consumer Agency of Canada(FCAC), Know Your Customer(KYC), Canadian Deposit Insurance Corporation(CDIC), Mutual Fund Dealer Association (MFDA) rules, regulations and policies, as well as Scotia Securities Inc. (SSI) guidelines/processes and Guidelines for Business Conduct

Escalating fraudulent activities, unusual occurrences, issues/deficiencies/trends to your direct supervisor and/or Branch Manager and/or AMLCO and/or Investment Specialist Compliance Officer and/or Chief Compliance Officers and/or Investment Specialist Head Office as appropriate

Desired Skills & Experience 

Post-secondary education in Business or related field 

Financial Planning Designation (PFP) or Certified Financial Planner (CFP)

Mutual Fund License

Regulatory compliance in relation to the sale of our products, storage of information and ongoing monitoring of customer relationship; specifically in relation to Know Your Customer requirements; Privacy, Anti-Money Laundering/Anti-Terrorist Financing, FCAC, CDIC and Occupational Health & Safety

3+ years of investment sales experience and financial planning

Proven networking, client acquisition and interpersonal skills

Advanced knowledge of practical sales techniques and prospecting

Highly effective verbal and written communication skills

Ability to work independently as a self-motivated entrepreneur with minimal supervision and also as part of a larger team

Extensive knowledge of competitive offerings, market trends, economic conditions, and the regulatory environment

An understanding of the Brokerage / Wealth Management and Online Brokerage environments

A valid driver’s license and access to a vehicle, in order to travel to meet clients and prospects within the designated district