Lead Advisor, National Advisory Desk

**Lead Advisor, National Advisory Desk**

**Location**:This position will be based out of our Toronto office.

**Our organization**:
Founded in 2017, Wellington-Altus Financial (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., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card._

**The opportunity**:
Reporting to the Senior Manager, National Advisory Desk, the Lead Advisor, will be responsible for strategic input and oversight of the activities on Wellington-Altus’ national corporate advisory desk.

The Lead Advisor will work in partnership with the Senior Manager to deliver an internal advisory desk service to corporately owned clients. These service-based activities will include client transitions, annual KYC updates and investment model execution.

**Key responsibilities include**:

- Advisory Desk Activities
- Develop and execute a strategic plan for the transition of new households to the corporately managed investment solutions.
- Oversee and execute all client risk assessments, investment model selection and account rebalancing activity.
- Address client inquiries, concerns, and service requests in a timely and professional manner.
- Ensure compliance with all applicable regulations and industry standards, including CIRO rules, securities legislation, and Know Your Client (KYC) requirements.
- Maintain accurate records and documentation of client transactions and communications.
- Collaborate closely with the Senior Management Team and cross-functionally to align operational goals with overall company objectives.
- Provide ongoing support regarding the transition of new clients into the National Advisory Desk branch.
- Department Support
- 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.
- Attending client events.
- Perform other duties as assigned.
- A degree or diploma in business administration, accounting, finance or related field, or equivalent work experience.
- 5+ years’ financial services industry experience.
- 3+ years’ experience in a client-service-facing role, via telephone or in person.
- Thorough understanding of Securities Industry products, capital markets, financial instruments, and investment strategies.
- CIRO licensing requirements, including completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) as well as active registration as a Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO).
- A commitment to fulfilling Continuing Education (CE) requirements.
- Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
- Demonstrated high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
- Ability to develop and communicate on complex financial products/strategies.
- High attention to detail with the ability to handle multiple priorities at the same time.
- 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.
- High tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
- Effective critical thinking and written and verbal communication skills.
- Strong work ethic and aim to succeed, demonstrate a high level of professionalism at all times.

**Conditions of employment**:

- Must be legally eligible to work in Canada.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

**To apply**: