Hi Everyone, I wish to confirm and get opinions on whether the position of
Client Service Associate at TD Wealth would be:
NOC 11103 Securities agents, investment dealers and brokers (NOC 2021 Version).
NOC 63102 – Financial sales representatives.
Below are the job duties for my role:
Job Profile Summary
This role is responsible for providing quality, efficient and specialized administrative support on multiple and diverse assignments. This position will provide dedicated support to an Investment Advisor (IA) or team of IAs, and may also provide support to other branch staff.
Job Description
EXPERIENCE & EDUCATION - I AM RESGISTERED REPRESENTATIVE LICENSED
• Undergraduate Degree or Community College Diploma preferred
• Completion of the Canadian Securities Course and Conduct and Practices Handbook
• Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative (IR) or Registered Representative (RR).
CUSTOMER
• Provide consistent and accurate administrative support to IA(s)
• Prepare documentation and provide updates to IA(s) in preparation for client meetings
• Create reports for analysis of client accounts
• Accept/create leads & ensure correct referral coding on TD Leads
• Submit marketing pieces for approval and compile client information packages; maintain marketing materials and mail outs via Marketing Express
• Familiarity and adherence to compliance requirements as outlined in PIA’s policies and procedures, including all aspects of new and existing account documentation and marketing materials
• Provide a high level of Client service which includes responding to client requests via phone and email based on knowledge of full service brokerage
• Deliver a legendary (gold standard) client experience
• Provide market quotes and track Dividends, RSPs, RIFs
SHAREHOLDER
• Prioritize and manage own workload to meet SLA requirements for service and productivity
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Protect the interests of the bank – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Use insights into how the customer or sales team integrates with other teams to coordinate efforts and resources to achieve shared objectives
• Monitor service, productivity and assess efficiency levels within own function
• Implement continuous process / performance improvements where opportunities exists
EMPLOYEE / TEAM
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities;
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand champion for your business area/function and the bank, both internally and/or externally
BREADTH & DEPTH
• First level service professional requiring detailed knowledge of own direct products / services and key competitors
• Interacts with customers to provide guidance on a broad range of products / services and identify referral opportunities, based on bank guidelines
• Basic understanding of the business developed through education, training and / or experience
• Develops foundational understanding of competitors, target industries and customer segments
• Uses established methods and scripts to understand customer needs
• Performs activities for customer retention and acquisition under direct guidance
• Reports to the Manager of Client Service
It's a fairly new role and I can't seem to fit it under any of the NOC codes. Any kind of help is highly appreciated.
Thank you.
Client Service Associate at TD Wealth would be:
NOC 11103 Securities agents, investment dealers and brokers (NOC 2021 Version).
NOC 63102 – Financial sales representatives.
Below are the job duties for my role:
Job Profile Summary
This role is responsible for providing quality, efficient and specialized administrative support on multiple and diverse assignments. This position will provide dedicated support to an Investment Advisor (IA) or team of IAs, and may also provide support to other branch staff.
Job Description
EXPERIENCE & EDUCATION - I AM RESGISTERED REPRESENTATIVE LICENSED
• Undergraduate Degree or Community College Diploma preferred
• Completion of the Canadian Securities Course and Conduct and Practices Handbook
• Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative (IR) or Registered Representative (RR).
CUSTOMER
• Provide consistent and accurate administrative support to IA(s)
• Prepare documentation and provide updates to IA(s) in preparation for client meetings
• Create reports for analysis of client accounts
• Accept/create leads & ensure correct referral coding on TD Leads
• Submit marketing pieces for approval and compile client information packages; maintain marketing materials and mail outs via Marketing Express
• Familiarity and adherence to compliance requirements as outlined in PIA’s policies and procedures, including all aspects of new and existing account documentation and marketing materials
• Provide a high level of Client service which includes responding to client requests via phone and email based on knowledge of full service brokerage
• Deliver a legendary (gold standard) client experience
• Provide market quotes and track Dividends, RSPs, RIFs
SHAREHOLDER
• Prioritize and manage own workload to meet SLA requirements for service and productivity
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Protect the interests of the bank – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Use insights into how the customer or sales team integrates with other teams to coordinate efforts and resources to achieve shared objectives
• Monitor service, productivity and assess efficiency levels within own function
• Implement continuous process / performance improvements where opportunities exists
EMPLOYEE / TEAM
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities;
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand champion for your business area/function and the bank, both internally and/or externally
BREADTH & DEPTH
• First level service professional requiring detailed knowledge of own direct products / services and key competitors
• Interacts with customers to provide guidance on a broad range of products / services and identify referral opportunities, based on bank guidelines
• Basic understanding of the business developed through education, training and / or experience
• Develops foundational understanding of competitors, target industries and customer segments
• Uses established methods and scripts to understand customer needs
• Performs activities for customer retention and acquisition under direct guidance
• Reports to the Manager of Client Service
It's a fairly new role and I can't seem to fit it under any of the NOC codes. Any kind of help is highly appreciated.
Thank you.