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These are qualifying examples only and 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 

  • Your role will be to build and strengthen relationships with new and existing clients while meeting clients’ short and long term financial needs, recommending a full range of solutions (banking, credit, investment and wealth protection) and taking into account the clients’ current situation, risk profile, time horizon, and other personal factors
  • Proactively establish, develop and maintain strong client relationships through regular contact and through providing timely, value-added information, advice and recommendations taking into account the latest developments in the markets, the economy, and the investment industry
  • Leverage the firm’s financial planning tools to help clients understand what they need to do to reach their goals and to encourage them to act on your recommendations 
  • Proactively identify opportunities to grow the business 

Qualifications and Key Competencies

  • Successful candidates must exhibit the firm’s values of trust, team work, and accountability. 
  • Must have completed the CSC
  • Asset to have the CFP accreditation or willing to complete.
  • Must meet eligibility requirements for IIROC licensing. 
  • Must have proven success in building solid client relationships. 
  • Must have minimum two to five years of experience in providing financial planning advice. 
  • Must complete the Conduct and Practices Handbook (CPH) within 3 months of start date
  • Must complete the Wealth Management Essential Course (WME) within (30) months of start date. If MFDA registered for the past 3 years and CSC was completed more than 3 years prior to submission of the IIROC registration application, WME to be completed within (3) months of start date to validate CSC for registration 

Example #2 

Key Accountabilities 

  • Manages an assigned portfolio of members using financial planning concepts, advisory and relationship tools to meet all clients’ complex credit/investment needs
  • Establishes regularly scheduled contacts with clients to establish relationships that will identify clients' needs
  • Keeps files on client relationships that include client's financial goals and plan of action to assist the member/client in meeting those goals
  • Manages assigned member portfolio jointly with other internal specialists
  • Provides financial advice using some financial planning tools (e.g. cash-flow and credit management)  
  • Acts as a mentor for less experienced staff under the guidance of the Branch Manager
  • Acts as the branch centre of expertise on the use of financial calculators, complex credit and managed portfolio solutions
  • Maintains strong relationships with alliance partners
  • Deals with referrals when deemed necessary based on the complexity of the clients requests 

Qualifications and Key Competencies 

  • Post-secondary education combined with 5 years related experience in a financial institution or an equivalent combination of education and experience
  • A minimum 3 years credit experience including analysis and knowledge of underwriting
  • CSC or IFIC course completed with ability to be licensed immediately
  • CFP or PFP designation or currently in progress
  • At a minimum 2 years of financial advisory experience and demonstrated relationship building experience
  • Proven track record in sales
  • Bilingualism in English and French is preferred
  • Sound knowledge of various computer applications including Excel, Word etc
  • Very detailed knowledge and ability to demonstrate sales management techniques
  • Developed writing skills sufficient to communicate detailed factual information to members and various departments or partners
  • Sound lending judgment
  • Excellent problem solving skills to systematically identify analyze and resolve complex member issues/problems
  • Excellent interpersonal and communications skills
  • Client Centricity - Evaluates and adapts service delivery to promote excellence
  • Continuous Learning & Agility - Seeks to improve and maintain personal effectiveness in high demand situations
  • Teamwork - Fosters teamwork
  • Achievement Orientation - Continually improves personal performance
  • Adaptability - Adapts to large, complex and/or frequent changes
  • Decision Making & Problem Solving - Makes complex decisions in the absence of policies and guidelines
  • Impact & Influence - Influences through linking with other initiatives
  • Initiative - Addresses opportunities to enhance and advance organizational goals
  • Sales Process - Creates and fosters internal sales culture
  • Professional/Technical Expertise-Demonstrates expert knowledge as relates to the job’s role

Example #3 

Key Accountabilities 

  • Engage customers in complete, needs based conversations to simplify the complex
  • Understand our customers’ needs, and guide them with the right options and solutions
  • Complete applications and close sales as part of customer interaction
  • Document identified opportunities, and changes to customer situations and potential needs
  • Walk the floor: spend a minimum of one hour per week walking the branch floor to engage customers and look for opportunities to book appointments
  • Proactively contact customers: make out-bound calls from leads and multiple customer databases
  • Attend and actively contribute to daily and weekly branch meetings
  • Meet with Customer Service Representatives to collaboratively look for opportunities to fill appointment calendar for the week 
  • Meet with partners to discuss appointments and cross-referral opportunities 

Qualifications and Key Competencies 

  • University degree or equivalent work experience
  • Successful completion of either the Investment Funds in Canada Course or Canadian Securities Course
  • Financial management training experience at another financial institution
  • Experience with personal credit and lending

Example #4

Key Accountabilities

  • Engage customers in complete needs-based conversations to simplify the complex, understand our customers’ needs, and guide them with the right options and solutions. 
  • Complete applications and close sales as part of customer interaction 
  • Document identified opportunities, and changes to customer situations and potential needs 
  • Walk the floor: spend a minimum of one hour per week walking the branch floor to engage customers and look for opportunities to book appointments
  • Proactively contact customers: make out-bound calls from leads and multiple customer databases
  • Attend and actively contribute to daily and weekly branch meetings 
  • Meet with Customer Service Representatives to collaboratively look for opportunities to fill appointment calendar for the week 
  • Meet with Branch Partners to discuss appointments and cross-referral opportunities

Qualifications and Key Competencies

  • University degree or equivalent work experience
  • Completion of an internal development program or at least one year of equivalent training/experience at another financial institution
  • Experience with personal credit and lending
  • Eligible to be a Registered Investment Sales Representative through successful completion of either the Investment Funds in Canada Course or Canadian Securities Course
  • Candidates must be willing to participate in a 6 month training program to progressively gain knowledge and build their capabilities
  • Candidates who do not meet the minimum requirements will be considered as Financial Services Manager in-training until they have fully completed the requirements to become a fully qualified Financial Services Manager