Associate Investment Advisor

Wellington-Altus; Saskatoon; On-site; CAD 60,000 - 100,000; Full time

Job summary

Join a forward-thinking company as an Associate Investment Advisor, where you will provide exceptional wealth management services to high-net-worth clients. This role emphasizes building strong client relationships through proactive engagement and personalized advice. You will collaborate with a team of experienced professionals, ensuring compliance with industry standards while continuously improving the client experience. If you thrive in a dynamic environment and are passionate about delivering extraordinary service, this opportunity is perfect for you.

Qualifications

• 5-8+ years’ experience in financial services, with a focus on client-facing roles.
• IIROC licensing and commitment to Continuing Education requirements.

Responsibilities

• Manage and grow client relationships through networking and marketing.
• Ensure compliance with industry regulations and provide exceptional client service.

Skills

Client Relationship Management

Financial Services Experience

Problem-Solving Skills

Communication Skills

Organizational Skills

Education

Degree in Business Administration

Canadian Securities Course (CSC)

Conduct and Practices Handbook Course (CPH)

Tools

MS Office Suite

Croesus

Job description

Location: This position is based out of our office in Saskatoon.

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 $35 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 opportunity:

Reporting to the Senior Investment Advisors, the Associate Investment Advisor will provide a comprehensive range of wealth management services to clients. They are responsible for building client relationships through exceptional client stewardship and service, as well as completing any documentation relating to trades and transactions, specifically subscription forms, trade notes, and compliance notes. The Associate Investment Advisor will also play an integral role in business development and marketing, as well as participate in the investment and financial planning process for clients.

Key responsibilities include:

• Managing and grow an existing client base through networking, marketing, and sales.
• Working as part of an IA team providing wealth management services to clients.
• Driving the wealth management process and continuously look for ways to improve and enhance the client experience.
• Be proactive in identifying opportunities for clients, providing personalized investment and wealth management advice.
• Developing and maintaining relationships with Centers of Influence; collaborate and work closely with client’s other professional advisors in the spirit of delivering a holistic experience.
• Proactively engage with both existing and new contacts within your network to build and nurture relationships, identifying potential business opportunities and foster long-term relationships
• Addressing client inquiries, concerns, and service requests in a timely and professional manner.
• Managing and overseeing complex tasks and maintain key client relationships to ensure high-quality service and successful project outcomes.
• Developing and maintaining a robust professional network.
• 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.
• Utilizing your in-depth knowledge of products and services to identify new opportunities within the existing client base.
• 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 IIROC 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.
  
  
  

The ideal candidate will possess:

• A degree or diploma in business administration, accounting, finance or related field, or equivalent work experience.
• 5-8+ years’ financial services industry experience, working in a high growth environment.
• 5 years’ experience in a client-service facing role, via telephone or in person.
• 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) requirement.
• Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with client relationship management tools.
• 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.
• Client-focused attitude with a commitment to providing extraordinary service to high-net-worth clients.
• Ability to maintain composure and communicate effectively in high-stress and high volume situations.
• Strong organizational skills.
• Excellent problem-solving skills.
• Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
• Excellent attention to detail.
• 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.
• 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-altus.com.