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Investment Associate

2 months ago

Swift Current, Canada Wellington-Altus Private Wealth Inc. Full time
About the Role

We are seeking a highly motivated and detail-oriented Investment Associate to join our team at Wellington-Altus Private Wealth Inc. As an Investment Associate, you will play a crucial role in providing exceptional client service, building strong relationships, and ensuring compliance with industry regulations.

Key Responsibilities
  • Client Relationship Management
    • 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, providing specialized reports and answering questions about specific products.
    • Meet with clients to understand their financial goals, risk tolerance, and investment preferences.
    • Provide personalized investment advice and recommend suitable products and strategies to help clients achieve their objectives.
  • Product Knowledge and Research
    • Stay updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments.
    • Assess the suitability of different products based on clients' profiles and regulatory requirements.
    • Research industry-related information from various sources as requested by your Advisor.
  • Compliance and Record-Keeping
    • Maintain client files, ensuring that all documentation and notes are compliant with industry regulations.
    • Keep 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.
  • Client Portfolio Management
    • Process unsolicited trades and provide quotes.
    • Process a variety of transactions, including issuing cheques, deposits, contributions, and withdrawals.
    • Account processing, including converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.
    • Assist in preparing advisors for client meetings, including preparation of account opening documentation, product research, etc.
    • Perform rigorous follow-up relating to all client transactions to ensure proper processing and minimization of errors.
Requirements
  • A degree or diploma in business administration, accounting, finance, or a 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 is 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.
  • 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 critical thinking and written and verbal communication skills.
  • An ability to maintain the highest levels of confidentiality.
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.