Investment Associate

Investment Associate

Location: This in-office position will be based out of our Swift Current 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 Team:

The most consequential wealth decision you make is the wealth team you select. It’s not just about the money; it’s about the purpose. We have the courage and conviction to have conversations with you that others aren’t having. Together we craft your plan and bring it to life.

The opportunity:

Reporting to an Investment Advisor at , the Investment Associate will act as a resource person for clients and assists Investment Advisors with administrative tasks and transaction processing related to managing client accounts.

The Investment Associate plays a crucial role in providing investment advice, building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Key responsibilities include:

Relationship Management & Client Consultation

Building and maintaining strong relationships with clients through regular communication, responsiveness, and proactive support. Address client inquiries, concerns, and service requests in a timely and professional manner. Acting as a resource person for clients (i.e. generating specialized reports, questions about specific products, etc.) Meeting with clients to understand their financial goals, risk tolerance, and investment preferences. Providing personalized investment advice and recommend suitable products and strategies to help clients achieve their objectives.

Product Knowledge

Staying updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments. Assessing 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. Maintaining 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.). Assisting in preparing 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.

The ideal candidate will possess:

A degree or diploma 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 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 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.

Wellington-Altus 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:

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