Location: This posting is for an existing vacancy in Wellington-Altus's Toronto office.

The Opportunity:

Reporting to the Senior Investment Advisors, the Investment Associate acts 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.
• Addressing client inquiries, concerns, and service requests in a timely and professional manner.
• Acting as a resource person for clients (e.g., generating specialized reports, answering questions about specific products, etc.)
• Meeting with clients to understand their financial goals, risk tolerance, and investment preferences.
• Providing personalized investment advice and recommending 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.
• Ensuring compliance with all applicable regulations and industry standards, including CIRO 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 (e.g..: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Processing of account updates (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.
• Rigorously following up with all client transactions to ensure proper processing and minimization of errors.

The ideal candidate will possess:

• A bachelor's or master's degree in business administration, accounting, finance, or a related field, or equivalent work experience.
• An equivalent combination of education and experience may be considered.
• 3-5 years of financial services industry experience working in a high-growth environment.
• 3+ years' experience in a customer or client facing role.
• Experience in wealth management or other regulated industry is a strong asset.
• Registered with CIRO as an Investment Representative (IR) or Registered Representative (RR) or meets the requirements to register.
• 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 Microsoft Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with Croesus and Salesforce is considered an asset.
• Ability to demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
• Proven ability to take initiative and work independently; a self-starter who thrives in dynamic environments.
• A 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.

Compensation & Benefits:

Range $80,000 - $90,000 annually.

This range represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on the number of hours regularly worked.

Wellington-Altus' total compensation package for employees may also include discretionary bonuses as well as other perks and rewards. Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.

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:

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. Artificial Intelligence (AI) will be used to screen and assess candidates for this role. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.ca.