Associate

Wellington-Altus•Ottawa, ON

7d•Onsite

About The Position

Reporting to the Senior Wealth Advisors & Portfolio Managers, the Associate acts as a resource person for clients and assists Investment Advisors with administrative tasks and transaction processing related to managing client accounts. The Associate plays a key role in delivering exceptional client service, supporting advisors in meeting preparation and follow-up, and ensuring all activities are completed accurately and in accordance with firm policies and applicable regulatory requirements.

Requirements

Post-secondary education in business administration, finance, accounting, or a related field is preferred; an equivalent combination of education and relevant experience may be considered.
3+ years of experience in wealth management or financial services in a client-service facing role.
Demonstrated experience processing client account transactions and maintaining accurate client documentation and records.
CIRO registration as an Investment Representative (IR) is strongly preferred but not required. Candidates who are not currently registered must obtain IR registration within the first year of employment and maintain applicable Continuing Education (CE) requirements.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Experience using CRM and account/portfolio administration systems; familiarity with Salesforce and Croesus is an asset.
Strong data-entry accuracy and the ability to learn new systems and workflows quickly while following documented procedures.
Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
Proven ability to take initiative and work independently; a self-starter who thrives in a dynamic, fast-paced environment.
Excellent attention to detail with strong problem-solving and critical thinking abilities; able to identify issues, investigate root causes, and recommend practical solutions.
Exemplary interpersonal and communication skills across multiple mediums (in-person, phone, and virtual), with a collaborative, client-service mindset.
Highly organized with a consistent and reliable work ethic; able to manage a high volume of competing priorities and meet deadlines.
Comfortable with ambiguity and able to adapt quickly to changing needs, processes, and work requirements.
Maintains the highest level of confidentiality and demonstrates integrity and discretion in all client and business interactions.
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.

Nice To Haves

Familiarity with Salesforce and Croesus is an asset.

Responsibilities

Build and maintain strong client relationships through regular, responsive communication and proactive support; address inquiries, concerns, and service requests promptly, ensuring clear communication and timely follow-up.
Assist in preparing advisors for client meetings, including preparation of account opening documentation, meeting packages, and product or account research as required.
Complete account processing, including opening accounts, converting RRSPs to RRIFs, setting up RRIF payments, estates processing, and beneficiary updates.
Process a variety of client transactions (e.g., cheques, deposits, contributions and withdrawals, and incoming/outgoing transfers) with a high degree of accuracy.
Provide rigorous follow-up on all client transactions to ensure proper processing and minimize errors; resolve exceptions and escalate issues as appropriate.
Maintain client files and records, ensuring all documentation and notes are complete, accurate, and compliant with firm policies and applicable regulatory requirements.
Act as a resource person for clients, including generating specialized reports and responding to questions about accounts, processes, and products within role scope.
Keep up to date on firm and industry changes and support the team in updating processes accordingly.
Perform other duties as assigned.