Adviser Assistant - Stockbroking

Sydney
Wealth Management
Permanent

Our client is a leading Australian stockbroker that provides a full brokerage service to individual clients investing in both domestic and international equities, and wealth management services including financial planning, margin lending and managed funds investments.

A key function of the Adviser Assistants role is the ability to deal confidently with Private Client Advisers and their clients in a high volume, time critical environment.

1-2 years’ experience in stockbroking assistant or operations and or client services roles would be highly desirable.

RESPONSIBILITIES:
• Assist the advisors in the development, preparation and implementation of financial advice and investment proposals in an efficient and accurate manner;
• Assist the advisors with servicing and maintenance of existing client relationships;
• Provide superior client service that builds strong client relationships by responding quickly and appropriately to client requests;
• Maintaining an up to date working knowledge of current relevant legislation and industry standards;
• Proactively identify opportunities for process improvement within the business;
• Ensure that stock settlements and the transfer of funds are efficiently undertaken and provide clients with relevant information in this regard;
• Manage the overall client relationship and communication process, ensuring regular contact and the provision of a professional and personalised service;
• Providing efficient and broad administration support to the Investment/Financial Advisory team;
• Initiate the new client process by arranging for the necessary paperwork to be sent to clients and ensuring the appropriate identification documents are gathered;
• Maintain filing system in accordance with relevant compliance criteria;
• Reconciliation of Expense statements and receipts;
• Assisting with the documentation process as required, including managed funds and IPO application forms;
• Draft correspondence in relation to routine matters;
• Provide clients and third parties (eg accountants or super fund administrators) with reports for investments when required;

EXPERIENCE: 

• 1-2+ years relevant experience in equity markets, either from operations, Client Services or similar Assistant / Adviser Assistant / Dealer assistant / Team assistant experience will be ideal.

QUALIFICATIONS:
• Degree Qualified within a Banking related discipline
• RG 146 (ideally – if not will be paid for to study)