Associate

Wellington-Altus•Toronto, ON

40d•$70,000 - $90,000

About The Position

Reporting to the Senior Portfolio Manager, the Associate will act as a resource person for clients and assist Senior Wealth Advisors with administrative tasks and transaction processing related to managing client accounts. The Associate plays a crucial role in building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Requirements

A bachelor's degree in business administration, accounting, finance or related field, or equivalent work experience.
2-3 years’ financial services industry experience working in a high growth environment.
3+ years’ experience in a customer/client-service facing role.
Equivalent combination of education and experience may be considered.
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.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
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.
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.

Nice To Haves

Experience in wealth management or other regulated industry is a strong asset.
Experience working with Croesus and Salesforce is considered an asset.

Responsibilities

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.)
Staying updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments. Assess the suitability of different products based on clients' profiles and regulatory requirements.
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. Maintain accurate records and documentation of client transactions and communications.
Researching industry related information from a variety of sources as requested by your Advisor.
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.
Managing team social media presence.
Supporting in planning client appreciation events and seminars.
Utilizing AI tools to streamline client communications, newsletters and marketing outreach.