Investment Associate

5 days ago

Burlington, Ontario, Canada Wellington-Altus Full time

About Wellington-Altus

Wellington-Altus is a leading investment dealer in Canada, providing financial services to high-net-worth clients and successful advisors. With over $30 billion in assets under administration, we offer a comprehensive range of investment products and services.

The Opportunity

We are seeking an experienced Investment Associate to join our team in Burlington. As an Investment Associate, you will act as a resource person for clients and assist Investment Advisors with administrative tasks and transaction processing related to managing client accounts.

Key Responsibilities

  • Assist in preparing Advisors for client meetings, including preparation of account opening documentation, product research, etc.
  • Account processing (converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.).
  • Processing a variety of transactions (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
  • Processing unsolicited trades and providing quotes.
  • Taking the lead on team or client projects.
  • Researching industry-related information from a variety of sources as requested by the Advisors.
  • Keeping abreast of policy and procedure changes within the firm and industry.
  • Committing to rigorous follow-up relating to all client transactions to ensure proper processing and minimization of errors.
  • Maintaining client files, ensuring that all documentation and notes are compliant with industry regulations.
  • Acting as a resource person for clients (ex: generating specialized reports, and questions about specific products).
  • Performing other duties as assigned.

Requirements

  • A diploma in business administration, accounting, finance, or a similar field of study.
  • A minimum of 3 years of industry experience, preferably in an administrative or operational capacity.
  • 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 professional designation, such as PFP or CFP, is considered an asset.
  • A commitment to fulfilling continuing education requirements.
  • A proven ability to independently identify problems and make suggestions for improvement.
  • An ability to adapt quickly to changing needs and work requirements; stay up to date on all processes and procedures
  • Strong organizational skills.
  • Excellent attention to detail.
  • A reliable, consistent work ethic.
  • An ability to quickly adapt to changing needs.
  • An excellent attitude and a commitment to providing extraordinary service.

Conditions of Employment

  • Must be legally eligible to work in Canada.
  • Active registration as an Investment Representative (IR) or Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO).
  • A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

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