Our client is a top financial institution with significant North American holdings. They have operations across most major verticals, including institutional & corporate, wealth management, private client, commercial banking, treasury, and retail banking.
The Operations Specialist is responsible for research and administration of routine and complex financial and non-financial transactions using all applicable systems for Company Securities clients and/or Advisors while providing superior quality, meeting all published service levels, within a client centric service model.
Company Securities is a leading national Canadian dealership with membership in both the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA). The dealership serves approximately 1,300 independent advisors, IIROC and MFDA.
What you will achieve in this role:
• Process routine daily transactions such as processing account opening or transfer requests received electronically or by way of paperwork; ensuring daily service levels are met with internal and external partners;
• Follow-up on issues as necessary or as directed; investigate into special complex transactions or other tasks as assigned, to a successful conclusion
• Address account opening or transfer related issues as it relates to any internal process related to the new or updated account, or incoming transfer request. Reporting into Team Leader, Supervisor or Manager on any escalated inquiries that are brought forward for resolution;
• Performing quality control or communicating on complex administrative cases with the Advisor or Assistant directly as needed
• Using Dataphile tracking, or any other tracking tools, maintaining and reporting progress updates regularly to the team;
• Maintains accurate records of transactions in order to interact effectively with clients;
• Identifies and or updates internal or external reference guides as necessary
• Identifies and solves most basic and complex problems based on an understanding of the customer's needs, using investigation and established processes, procedures or guidelines;
• Responsible for recognizing the need to redirect more complex problems or escalate potential patterns to senior team members;
• Participates in special projects/assignments; perform other duties as required.
What you will bring to this role:
• Minimum of 2 years’ experience in the mutual fund financial services or investment industry, or at least 2 year’s experience in a dealer back office;
• Required to complete any and all Anti Money Laundering, Complaint Management and PIPEDA courses delivered by Company
• Ability to identify patterns or connections and problem solving;
• Superior attention to detail and accuracy;
• Experience in Dataphile is an asset;
• Demonstrated proficiency in MS Office (Word, Excel) skills;
• Successful completion of IFIC Operations Course is an asset.
• CSC/CPH/IFIC Sales or IFIC Operations preferred
We thank you for your interest in the position, however, only those who are qualified will be contacted
Inclusion and Equal Opportunity Employment
Our client is an equal opportunity employer committed to diversity and inclusion; creating an inclusive environment where all team members and clients feel like they belong. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, Aboriginal/Native American status or any other legally-protected factors. We seek applicants with a wide range of abilities, and we provide an accessible candidate experience; accommodations during the application process are available upon request.