This content is password protected. To view it please enter your password below:

Let us help you ignite your career in financial services. Use this tool to map your future and find out how IFSE Institute can support your professional development goals.

IFSE empowers advisors with the tools they need to enhance their financial expertise and inspire clients’ confidence. We also help individuals build their expertise and financial literacy through practical financial training courses that form the foundation for long-term financial success.

Starting your career

Advice Channel

Operations/ back office

Compliance

Starting your career

Advice Channel

Operations/ back office

Compliance

Starting
your career

Advice
Channel

Operations/
back office

Compliance
 

Starting
your career

Client
Service
Representative

Client Service Representative

Description

  • Responsible for answering incoming calls from financial advisors, dealers, and customers.
  • Answer inquiries about products, accounts, and transaction information.
  • Resolve issues and process client requests.
  • Strive to maintain and exceed the firm's service standards.
  • Provide ongoing continued support to build strong relationships with advisors and dealers.

Key skills:

  • Personable and articulate
  • Adaptive and agile
  • Problem solver
  • Detail-oriented

Salary range:

$40 - $55K

Recommended courses:

Canadian Investment Funds Course (CIFC)

Canadian Investment Funds Operations Course (CIFOC)

Life
Insurance
Agent
Assistant

Life Insurance Agent Assistant

Description

  • Develop leads, schedule appointments, and handle administrative tasks.
  • Service client needs and identify new business opportunities.
  • Generate new business sales through prospecting activities and establishing referral channels.
  • Maintain up-to-date product and industry knowledge.

Key skills:

  • Computer proficient
  • Client-service focused
  • Team-oriented

Salary range:

$35 - $50K

Recommended courses:

Life License Qualification Program (LLQP)

Financial
Advisor
Assistant

Financial Advisor Assistant

Description

  • Perform administrative tasks such as scheduling appointments, preparing documentation, and marketing activities.
  • Provide ongoing service and support to clients.
  • Respond to client inquiries in a timely, responsive manner.
  • Resolve issues affecting client transactions expeditiously and accurately.
  • Identify opportunities to increase revenue within the existing client base.
  • Maintain up-to-date product and industry knowledge.

Key skills:

  • Excellent computer skills
  • Articulate and personable
  • Attentive to detail

Salary range:

$30 - $50K

Recommended courses:

Canadian Investment Funds Course (CIFC)

Ethics and Professional Conduct Course (EPC)

Exchange-Traded Funds Course

Advice
channel

Financial
Advisor

Financial Advisor

Description

  • Proactively establish, develop, and maintain strong client relationships through regular contact and by providing timely, value-added information, advice, and recommendations.
  • Engage with new and existing clients to understand their long-term and short-term financial goals and objectives.
  • Present customized financial recommendations, offer investment advice, and complete sales.
  • Network regularly with existing clients and prospects/referrals to build and grow the practice.

Key skills:

  • Knowledgeable and well-informed
  • Excellent communicator
  • Relationship builder
  • Entrepreneurial

Salary range:

$50 - $100K

remuneration from commission and fees can exceed this range

Recommended courses:

Canadian Investment Funds Course (CIFC)

Ethics and Professional Conduct Course (EPC)

Exchange-Traded Funds Course

Life
Insurance
Agent

Life Insurance Agent

Description

  • Work with clients to address their risk management and insurance needs.
  • Perform needs analysis and recommend suitable insurance products.
  • Conduct business development activities to acquire new clients.
  • Establish and develop strong client relationships.
  • Maintain a sound level of product, procedures, systems and industry knowledge, across specific product lines.
  • Process transactions and maintain accurate records.

Key skills:

  • Business-minded
  • Intelligent and articulate
  • Client-focused
  • Excellent communicator

Salary range:

$50 - $100K

remuneration from commission and fees can exceed this range

Recommended courses:

Life License Qualification Program (LLQP)

Exempt
Market
Dealing
Representative

Exempt Market Dealing Representative

Description

  • Engage with new and existing investors to help them determine the appropriateness of investing in exempt products.
  • Present investment offerings, provide investment advice, and complete sales.
  • Employ business development activities to attract new investors.
  • Maintain a deep understanding and technical knowledge of offerings to provide the best advice for prospective investors.

Key skills:

  • Knowledgeable and well-informed
  • Excellent communicator
  • Self-motivated and entrepreneurial

Salary range:

$50 - $100K

remuneration from commission and fees can exceed this range

Recommended courses:

Exempt Market Proficiency Course (EMP)

Ethics for Exempt Market Dealer Representatives

Accredited Investor and Offering Memorandum Exemption Case

Operations/
back office

Client
Service
Representative

Client Service Representative

Description

  • Responsible for answering incoming calls from financial advisors, dealers, and customers.
  • Answer inquiries about products, accounts, and transaction information.
  • Resolve issues and process client requests.
  • Strive to maintain and exceed the firm's service standards.
  • Provide ongoing continued support to build strong relationships with advisors and dealers.

Key skills:

  • Personable and articulate
  • Adaptive and agile
  • Problem solver
  • Detail-oriented

Salary range:

$40 - $55K

Recommended courses:

Canadian Investment Funds Course (CIFC)

Canadian Investment Funds Operations Course (CIFOC)

New
Account
Administrator

New Account Administrator

Description

  • Process the opening of new accounts on the back-office/shareholder system.
  • Process account documentation to ensure that all information has been submitted and is complete.

Key skills:

  • Excellent computer skills
  • Accurate and precise
  • Organized

Salary range:

$40 - $50K

Recommended courses:

Canadian Investment Funds Operations Course (CIFOC)

Canadian Investment Funds Course (CIFC)

Mutual
Fund
Administrator

Mutual Fund Administrator

Description

  • Process and input transactions on the back-office/shareholder system.
  • Process transaction documentation to ensure that the information is complete and accurate.

Key skills:

  • Excellent computer skills
  • Methodical and inquiring
  • Meticulous

Salary range:

$34 - $50K

Recommended courses:

Canadian Investment Funds Operations Course (CIFOC)

Canadian Investment Funds Course (CIFC)

Settlement
Administrator

Settlement Administrator

Description

  • Monitor, facilitate, and ensure the successful settlements of trades.
  • Communicate with branches, fund companies and/or internal departments to identify, investigate and resolve settlement problems.
  • Submit transmissions for settlements.

Key skills:

  • Computer proficient
  • Multi-tasker
  • Attentive to detail

Salary range:

$40 - $60K

Recommended courses:

Canadian Investment Funds Operations Course (CIFOC)

Canadian Investment Funds Course (CIFC)

Reconciliation
Administrator

Reconciliation Administrator

Description

  • Responsible for reconciling the client accounts and positions on the dealer's books and records against those held at the fund company.
  • Responsible for resolving exceptions identified in the reconciliation process.

Key skills:

  • Problem solver
  • Methodical and systematic
  • Precise and accurate

Salary range:

$35 - $50K

Recommended courses:

Canadian Investment Funds Operations Course (CIFOC)

Canadian Investment Funds Course (CIFC)

Fund
Administration/
Clerk
Representative

Fund Administration / Clerk Representative

Description

  • Process all fund-related transactions (e.g., set up new accounts, process purchases, transfers, switches, redemptions).
  • Process adjustments, such as correcting errors on fund accounts including reversal and reprocessing of all transaction types.
  • Communicate with internal parties (Client Administration, Client Services, Marketing and Accounting Departments) and external parties (Advisors) to resolve day-to-day issues and inquiries relating specifically to fund processing.

Key skills:

  • Excellent computer skills
  • Detail-oriented
  • Organized

Salary range:

$25 - $50K

Recommended courses:

Canadian Investment Funds Operations Course (CIFOC)

Canadian Investment Funds Course (CIFC)

Compliance

Chief
Compliance
Officer

Chief Compliance Officer

Description

  • Reports to the Ultimate Designated Person (UDP).
  • Responsible for establishing and overseeing the firm's compliance regime, policies, and procedures.
  • Primary duties are to oversee the supervision of the firm to ensure compliance with legislation and regulations.
  • Responsible for escalating and advising on activity that violates legislation and regulations to the UDP and reporting on the status of the firm's compliance to the Board of Directors.

Key skills:

  • Strong leadership
  • Knowledgeable and well-informed
  • Articulate
  • Excellent judgement
  • Problem solver

Salary range:

$92 - $170K

Recommended courses:

Officers’, Partners’ and Directors’ Course (OPD)

Ethics and Professional Conduct Course (EPC)

Canadian Investment Funds Course (CIFC)

Exempt Market Proficiency Course (EMP)

Exchange-Traded Funds Course

Compliance
Officer

Compliance Officer

Description

  • Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations.
  • Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.

Key skills:

  • Analytical
  • Detail-oriented
  • Organized
  • Pro-active
  • Problem solver

Salary range:

$52 - $95K

Recommended courses:

Officers’, Partners’ and Directors’ Course (OPD)

Ethics and Professional Conduct Course (EPC)

Canadian Investment Funds Course (CIFC)

Exempt Market Proficiency Course (EMP)

Exchange-Traded Funds Course

Regional
Compliance
Officer

Regional Compliance Officer

Description

  • Responsible for conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations.
  • Responsible for taking the appropriate steps, following up, and escalating matters in order to ensure corrective action is effected.
  • Conduct branch audits within the coverage area.
  • Provide training, guidance, and support to the branches on regulatory initiatives.

Key skills:

  • Meticulous and rigorous
  • Intelligent and articulate
  • Astute and discerning
  • Excellent communicator

Salary range:

$60 - $115K

Recommended courses:

Officers’, Partners’ and Directors’ Course (OPD)

Ethics and Professional Conduct Course (EPC)

Branch Managers’ Examination Course (BM)

Canadian Investment Funds Course (CIFC)

Exempt Market Proficiency Course (EMP)

Exchange-Traded Funds Course

Registrations
Officer

Registrations Officer

Description

  • Responsible for the registration process and filings on the National Registration Database (NRD).
  • Provide guidance to employees and branches on registration matters.
  • Responsible for keeping abreast of regulatory changes and requirements that impact registration.
  • Maintain communication with regulators concerning matters on registration.

Key skills:

  • Computer proficient
  • Precise and accurate
  • Multi-tasker
  • Focused on details

Salary range:

$40 - $60K

Recommended courses:

Ethics and Professional Conduct Course (EPC)

Branch
Manager

Branch Manager

Description

  • Responsible for approving new accounts and conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations and effecting corrective action.
  • Responsible for ensuring that the branch provides excellent customer service.
  • Provide training, guidance, and support to advisors and branch staff.
  • Oversee the day-to-day operations of the branch.

Key skills:

  • Pro-active
  • Problem solver
  • Strong leadership
  • Excellent communicator

Salary range:

$70 - $100K

Recommended courses:

Branch Managers’ Examination Course (BM)

Ethics and Professional Conduct Course (EPC)

Canadian Investment Funds Course (CIFC)

Exempt Market Proficiency Course (EMP)

Exchange-Traded Funds Course

Assistant Branch Manager

Assistant Branch Manager

Description

  • Acting as an alternate to the Branch Manager in the Branch Manager's absence.
  • Responsible for approving new accounts and conducting supervision reviews to ensure that business activity complies with regulatory requirements and the firm's policies and procedures.
  • Responsible for identifying non-compliant conduct, breaches, and violations and effecting corrective action.
  • Oversee the day-to-day operations of the branch in the Branch Manager's absence.

Key skills:

  • Excellent judgement
  • Problem solver
  • Customer service focused

Salary range:

$53 - $70K

Recommended courses:

Branch Managers’ Examination Course (BM)

Ethics and Professional Conduct Course (EPC)

Canadian Investment Funds Course (CIFC)

Exempt Market Proficiency Course (EMP)

Exchange-Traded Funds Course