Job Details

Financial Advisor's Administrator

Job Category: Full Time

Financial Advisor’s Administrator


The Financial Advisor’s Administrator provides administrative support for Financial Advisors.


  • Organized
  • Strong written and verbal communications in English
  • Intermediate Computer Knowledge
  • Financial Services Experience, an asset
  • Professional designations, an asset


The Financial Advisor’s Administrator reports to Sr. Financial Advisor.


   The following are principal authorities granted to the Individual Products Admin:

  • Exercise the responsibilities and perform the duties of this position.  This includes full decision-making authority for all responsibilities and duties within their specific position.


   The following are principal duties of the Individual Products Admin:

  • Adhere to all company policies and procedures as outlined in the procedure manual and other sources
  • Contribute to procedure development and editing as required
  • Inform Sr. Financial Advisor if a procedure has become out of date
  • Ensure that someone else is trained to perform your immediate functions in the event of your absence
  • When leaving office, inform reception
  • Backup for reception if requested
  • Process securities sales
  • Perform administrative tasks for new individual business, including ordering and tracking medical requirements and follow up
  • Send acknowledgement letter to client
  • Set up individual files, and enter in Customer Information for individual life, mutual fund client, individual RRSP’s, individual Health & Dental plans, DI, GRRSP's, DPSP's, RPP's and Travel
  • Follow up on policy delivery, collection and submission of outstanding requirements
  • Send reinvestment forms to customers per financial advisor's request
  • Follow up on new business, completion of medical requirements and forms as required utilizing Task Reminder in Outlook
  • List New Business in Excel "New Business/Tracking Commission"
  • Prepare correspondence and forms for Individual Investment requests
  • Admin functions for group retirement, individual pension plans, Group RRSP & DPSP's
  • Track Agent CE credits for Life Licenses
  • Preparing Life contracting for insurers
  • Send copies of agents' current life licenses, E&O certification to insurance companies, MGAs as required
  • Prepare mailing labels for newsletters, calendars, etc.
  • Follow policy / procedures for out of office (phone and email)
  • Ensure that all governing body guidelines adhered to, especially with respect to privacy.
  • Special projects as required.
  • Perform administrative tasks related to group and individual conversions
  • Book and confirm appointments for Senior Financial Advisor
  • Track and Prepare monthly renewal of financial and life products
  • Prepare presentations and quotes for Senior Financial Advisor


   The following will be used to evaluate the performance of the Individual Products Admin:

  • Follows procedures to their letter and intent.  Contributes to development of procedures when requested.
  • Demonstrated team spirit, a willingness to help staff and displayed enjoyment of the job. Complete projects on time, punctual for team meetings.
  • All deadlines met with time to spare for development projects
  • Accuracy - few changes needed once an item is submitted
  • Problems are addressed efficiently when possible or brought to Sr. Financial Advisor quickly
  • Written and verbal communications are friendly and effective