Investment Associate

3 weeks ago

Winnipeg, Canada Wellington-Altus Private Wealth Inc. Full time

**Investment Associate**

**Location**:This in-office position will be based out of our Winnipeg office.

**Our organization**:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With more than $30 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
- _Investment Executive 2024 Brokerage Report Card._

**The opportunity**:
If you’re looking to join a high performing, entrepreneurial team that values a collaborative, dynamic team environment with strong integrity, this could be the next step in your career

**Key responsibilities include**:
Relationship Management & Client Consultation
- Build and maintain strong relationships with clients through regular communication, responsiveness, and proactive support.
- Address client inquiries, concerns, and service requests in a timely and professional manner.
- Act as a resource person for clients (i.e. generating specialized reports, questions about specific products, etc.)
- Meet with clients to understand their financial goals, risk tolerance, and investment preferences.
- Provide personalized investment management support in-line with our teams focus and strategy including working with suitable products and platforms to help clients achieve their long-term objectives.

Product Knowledge
- Stay updated on a wide range of investment products available in the Canadian and US markets, including stocks, bonds, mutual funds, ETFs, and alternative investments.
- Working with the team, assess the suitability of different products based on clients' profiles and regulatory requirements.

Compliance & Research
- Maintaining client files, ensuring that all documentation and notes are compliant with industry regulations.
- Keeping abreast of policy and procedure changes within the firm and industry.
- Ensure compliance with all applicable regulations and industry standards, including IIROC rules, securities legislation, and Know Your Client (KYC) requirements.
- Maintain accurate records and documentation of client transactions and communications.
- Researching industry related information from a variety of sources as requested by your Advisor.

Client Portfolio Management
- Processing unsolicited trades and providing quotes.
- Processing a variety of transactions (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
- Account processing (converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.).
- Preparing yourself and your teams advisors for client meetings, including preparation of account opening documentation, product research, etc.
- Committed to rigorous follow up relating to all client transactions to ensure proper processing and minimization of errors.
- Performing other duties as assigned.
- A bachelor's or master's degree in business administration, accounting, finance or related field, or equivalent work experience.
- 3-8 years’ financial services industry experience working in a high growth environment.
- 2+ years’ experience in a customer/client-service facing role.
- Equivalent combination of education and experience may be considered.
- Experience in the wealth management or other regulated industry is a strong asset.
- IIROC licensing requirements, including completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) as well as active registration as an Investment Representative (IR) or Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO).
- A commitment to fulfilling Continuing Education (CE) requirements.
- Professional designation such as a Personal Financial Planner (PFP) or Certified Financial Planner (CFP) is considered an asset.
- Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
- Experience working with Croesus and any trading software considered an asset.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day to day work and long-term goals.
- Commitment to ethical conduct and integrity in all client interactions.
- Excellent attitude and commitment to providing extraordinary service.
- Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
- Excellent problem-solving skills.
- Strong organizational skills.
- A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
- Strong crit

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