Co-operators is a leading Canadian financial services co-operative committed to creating a sustainable society. The Dealer Services Representative will leverage their knowledge of the mutual fund industry to maintain compliance with licensing regulations and support client relations.
Responsibilities
- Receiving and reviewing transaction requests, ensuring appropriate documentation has been completed and that required supporting documents are submitted
- Reviewing documentation for accuracy and executing translations on behalf of advisors to reflect client requests, new account openings and updates
- Providing expertise and guidance to filed management and employees on client issues, including addressing and triaging client complaints and concerns with regards to Mutual Funds
- Identifying issues of concern or non-compliant transactions or behaviour and escalating issues as appropriate
Skills
- You have at least 1 year of experience in investments
- You have completed post-secondary education in Business Administration, Finance, Commerce, Advanced Investment or a related discipline
- You have basic knowledge of insurance, products, sales practices and procedures, distribution and market conduct regulations
- You have or will obtain the Mutual Fund Licence
- Having or working towards the Branch Compliance Manager designation is an asset
Benefits
- Training and development opportunities to grow your career.
- Flexible work options to support personal and family needs.
- A holistic approach to your well-being, with physical and mental health programs and a supportive workplace culture.
- Volunteer opportunities to give back to your community.
Company Overview
As a leading Canadian financial services co-operative, Co-operators offers multi-line insurance and wealth products, services, and advice to build financial strength and security. It was founded in 1945, and is headquartered in Guelph, Ontario, CA, with a workforce of 5001-10000 employees. Its website is http://www.cooperators.ca/.