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.

The ideal candidate will possess:

• 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.

Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.

If you require accommodation for the recruitment process, please let us know at the point of application.

To apply:
Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-