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These are qualifying examples only. All work experience submissions are subject to approval. FPSC will look at your specific work experience, evaluating key responsibilities and day-to-day tasks within a role, to make a determination on its eligibility. Depending on the nature of responsibilities and their link to the CFP® Professional Competency Profile, FPSC may approve all or part of your work experience.

Example #1

Key Accountabilities
  • Provide investment advice to all existing and prospective non-discretionary clients over the phone and in meetings, including:
    • Gathering pertinent client information
    • Analyzing this information to gain an understanding of the client objectives/constraints
    • Using tools available to create an appropriate asset mix based on the client objectives/constraints
    • Recommending an appropriate mix of funds, explaining the funds’ characteristics, how they differ from other funds, and why they are the most appropriate funds for the client
    • Assisting the client in implementing the strategy
  • Assist clients in building portfolios by providing detailed information and comparisons of investment funds
  • Take clients through a detailed profiling and needs assessment process in order to determine appropriate asset allocation
  • Communicate the firm’s market commentaries, economic outlooks and asset mix strategies to clients and prospects
  • Grow and develop the direct-to-investor distribution channel through proactive and reactive client contact and identifying latent needs in order to seize opportunities
  • Provide information pertaining to a wide range of complex financial planning concepts to clients including estates, tax, retirement planning, investment strategies, etc
  • Occasionally assist clients with on-line technical problems with accessing confidential client information on phn.com
  • Accept client trades and instructions over the phone while ensuring these are consistent with client Investor Profile information
  • Adhere to all compliance and regulatory requirements to the highest ethical standards
  • Offer “value added” articles and pieces to clients and prospects
  • Prepare, send and track investment policy statements, asset mix changes and confirmation letters
  • Asset mix analysis and rebalancing for manager approval
  • Research tax and financial planning issues and tax effective asset allocation and rebalancing
  • Execute allowable trades
  • Prepare initial portrait files upon receipt of a completed questionnaire, to be finalized by the Advisor during client meetings
  • New account presentations and prospect proposals
  • Compile breakdown of externally held assets and generating overall asset mix

Qualifications and Key Competencies

  • Post-secondary education and working towards a Professional Designation (CFP, CFA, CIM)
  • Must have Mutual Funds License
  • At least 2-3 years of progressive experience in the investment industry
  • Excellent knowledge of MS Word, Outlook and Excel
  • Good problem solving and strong oral and written communication skills
  • Well organized and able to deal with multiple tasks and changing priorities
  • Self-motivated with the ability to work both independently and as an effective team player with staff at all levels
  • Ability to establish rapport and trust with prospective/existing clients, colleagues and co-workers
  • Ability to handle large client volumes and clearly communicate complex investment information
  • Demonstrate good judgment and maturity with the ability to analyze client situations and implement appropriate strategies

Example #2

Key Accountabilities

  • Assist in data gathering and fact finding
  • Assist in financial planning analysis
  • Conduct research and provide findings related to cross border issues affecting the client’s financial plan
  • Draft financial plans and memos based on the analysis and recommendations to clients from the Firm’s Principal and CEO
  • Assist in the implementation and monitoring of financial plans
  • Proactively follow-up with clientele to address their questions and concerns regarding their financial plan
  • Work collaboratively with other colleagues and professionals to ensure clients experience exceptional service and have all of their financial needs met

Qualifications and Key Competencies

  • 2-3 years of experience in the financial services industry
  • Excellent communication, time management and organizational skills
  • Demonstrate PC literacy, including financial planning software and Microsoft Office
  • Interest in Financial Planning
  • Candidates must be working towards a designation within the financial services industry
Example #3

Key Accountabilities

  • Process insurance applications, and case preparations, and provide ongoing service to the firm’s Financial Advisors and clients;
  • Produce financial plans and prepare insurance solutions under supervision
  • Provide detailed marketing support using financial planning and insurance concepts and illustration software;
  • Coordinate and develop ongoing training, communication and support for Financial Planning Services;
  • Forward new sales opportunities and build relationships both internally and externally;
  • Create and follow up on opportunities for insurance and financial planning, and act as liaison between partners and Financial Advisors;
  • Maintain a high level of partnership, knowledge and professionalism to promote planning to our network of high net worth clients;
  • Manage all work flow, filing, correspondence, systems and maintenance of client files, software and marketing materials
Qualifications and Key Competencies
  • Minimum 2 years related Insurance and Financial Planning experience;
  • A Financial Planning designation (i.e. CFP) is preferred;
  • The ability to work with complex software packages, including but not limited to insurance company illustration software, Excel, the Razor, and CCH planning software;
  • Life Insurance licensed and industry experience would be assets;
  • A demonstrated professional and customer-service oriented manner;
  • The ability to prioritize and effectively manage time in order to meet deadlines;
  • Excellent written, verbal and interpersonal communication skills;
  • A desire for future growth potential and increasing responsibility;
  • A predisposition to pay attention to detail. 

Example #4

Key Accountabilities

  • Support the Financial planner with analytics, research and report preparation
  • Client communications and follow up:  Provide client support and maintain positive relationships including follow-up with requests, tasks and analysis, ensuring professionalism and discretion
  • Client Service support: Prepare meeting agendas (word, PPT) as directed to include Full Financial Plan and corresponding follow up service in areas of cash management, tax, and  Estate
  • Business processing lead: complete paperwork, process and manage to completion; track and keep track of all records and follow up (as it relates to money and insurance products)
  • Maintain general office functions and coordinated support services (telephone and computer systems, website updates as directed 

Qualifications and Key Competencies

  • Post-secondary education in Financial Planning (and with CFP designation) or a minimum of 3 years of  experience in a similar role
  • Advanced computer skills especially in MS Office
  • Quick learner of financial planning software, social media and web management 
  • Strong analytical skills, with attention to detail and accuracy
  • Excellent English skills (verbal and written) 
  • Strong interpersonal skills with a positive attitude; flexible to take on new tasks
  • Able to build credibility and rapport with clients over the phone
  • Trustworthy and respects confidentiality with professional and proactive working style
  • Able to multi-task with strong organizational skills and a high level of accuracy
  • Need to follow through with multiple tasks to completion with minimal supervision
  • Self-starter - works independently in small office environment with minimal supervision 

Example #5

Key Accountabilities 

  • Working on a team under the direction of a Senior Consultant, the Assistant is responsible for providing support to our High Net Worth clients
  • Prepare comprehensive financial plans
  • Participate in client meetings with a Senior Consultant
  • Prepare income tax returns.
  • Provide thorough assistance to a Senior Consultant 

Qualifications and Key Competencies

  • University degree (preferred), as well as a CFP Level 1 (FPE1) is required, with Level 2 to be completed within 1 year
  • CSC designation is required
  • Minimum 2-3 years of work experience in the financial services industry (preferably financial planning)
  • Experience in the preparation of personal income tax returns is a definite asset
  • Excellent communication skills (written and verbal)
  • Self-motivated with high attention to detail
  • Above average attention to detail and accuracy in work
  • Must be inclined to provide sustainable continuous support to the team and the clients
  • Ability to work well as part of a team but can also work independently (with little supervision) to complete tasks
  • Ability to work in a fast paced environment
  • Computer literate

Examples #6

 Key Accountabilities 

  • Financial Planning Tools Support – Assist the various sales forces in using the corporate approved financial advice and planning tools to respond to client queries, uncover hidden assets, retain business, and develop referrals.
  • Testing – Conduct Quality Assurance and User Acceptance Testing of updated or newly created tools that are developed internally or purchased from external vendors.
  • Coaching – Provide ongoing coaching to users directly or by referring them to job aids and other resource material
  • Documentation – Create and update user guides, job aids and other resources; assist in ensuring that financial advice and planning tools reports, questionnaires and marketing materials are updated on a regular basis and develop new documents as required.
  • Training – Working with Learning Services groups to contribute to the development and updates of training programs and supporting material.

 Qualifications and Key Competencies

  • Bilingual (French/English) mandatory
  • Knowledge of financial planning software (Horizons/NaviPlan preferred)
  • Minimum 2 - 3 years of experience in the financial planning/wealth management industry
  • CFP, R.F.P., FMA, CSWP, IQPF, or PFP designation
  • Accounting designation is an asset
  • Understanding/knowledge of Canadian taxation and pension legislation
  • Excellent verbal and written communication and interpersonal skills
  • Above average analytical and judgment skills
  • Ability to think on one’s feet and quickly change from topic to topic
  • Ability to work as part of a team and independently complete tasks
  • Ability to prioritize and organize simultaneous assignments and meet deadlines
  • Service oriented attitude and desire for future growth 

Example #7  

  Key Accountabilities

  • Deliver and manage advisory programs
  • Provide facilitation, classroom instruction, conference calls and webinar training as required to new and existing learners
  • Deliver web-based learning
  • Provide pre-program support to learners and their leaders with program expectations, learning curriculum, progress and coaching as required
  • Provide ongoing learning support to employees for advisory learning programs
  • Adhere to the compliance and regulatory requirements for training MFDA and IIROC-licensed employees
  • Be accountable for the accuracy, relevance, effectiveness and appropriateness of content developed and delivered within all advisory learning programs  
  • Design and develop high quality content to enhance advisor capability
  • Build and maintain an inventory of advisor-friendly resources and tools, including advisor reference guides, newsletters, technical papers, articles, process maps, helpful hints, best practices and FAQs
  • Review and update learning materials with time-sensitive data prior to each program to ensure accuracy of materials 
  • On an ongoing basis, monitor program content to ensure that it is consistent with the objectives of the business, identify opportunities or requirements for enhancement/adjustment 
  • Proactively and on an ongoing basis, identify opportunities for program enhancements, revamps and continuous improvements; and advocate for, propose and implement plans for delivering on these changes 
  • Participate actively in the validation, piloting and finalizing of content enhancements and updates
  • Be the subject matter expert for advisory programs and for any and all platforms and applications used by the advisor community
  • Provide in-depth and up-to-date knowledge of the relevant business, including products, policies, practices, systems and procedures
  • Support committees and initiatives as required 
  • Remain current with business developments, learning trends and organizational shifts
  • Keep current on all issues concerning MFDA and IIROC regulations and other education requirements relative to programs
  • Meet measurement benchmarks that are set out
  • Support builds of new measurement approaches or enhance existing approach
  • Evaluate results and make changes/enhancements as appropriate

Qualifications and Key Competencies

  • PFP or CFP required
  • Additional specialized designation / accreditation with corresponding depth of technical knowledge in the area of financial planning, investments and wealth management required
  • Familiarity with adult educational program design, development and delivery
  • Prior experience in a financial advisory / sales leader role, with demonstrated success
  • Broad knowledge of the industry (internal and external) and in areas such as investments, sales management, financial planning and advice
  • Demonstrated ability to clearly articulate and present ideas and information
  • Excellent writing, editing, and communication skills
  • Experience using electronic communication technology and software (web presence, video and e-learning)
  • High level of proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook) and Email / Internet systems