Associate Investment Advisor

Hunter Mercantile; St. Catharines; On-site; CAD 65,000 - 75,000; Full time

Job summary

A boutique portfolio management firm is seeking an Associate Investment Advisor to join their growing team. This entry-level role offers a unique opportunity to work closely with Senior Investment Advisors, supporting client relationships and contributing to investment strategies. The firm prioritizes collaboration, professional growth, and adherence to regulatory standards, making it an ideal place for passionate individuals to launch their careers in wealth management.

Benefits

Competitive salary and bonus

Professional growth opportunities

Mentorship from experienced Investment Advisors

Support for additional industry designations

Collaborative team environment

Qualifications

• 2-5 years of experience in financial services, preferably in wealth management.
• Proficiency in Microsoft Office Suite.
• Ability to meet CIRO registration requirements.

Responsibilities

• Assist Senior Investment Advisors in managing client relationships.
• Facilitate client onboarding and ensure compliance with regulations.
• Conduct research on investment products and economic indicators.

Skills

Investment products understanding

Financial markets knowledge

Communication skills

Organizational skills

Client-centric approach

Education

Bachelor's degree in Finance, Business Administration, or Economics

Canadian Securities Course (CSC)

Conduct and Practices Handbook Course (CPH)

Tools

Microsoft Office

CRM software

Job description

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Base pay range

CA$65,000.00/yr - CA$75,000.00/yr

Direct message the job poster from Hunter Mercantile

The Client: Our client, a long-established portfolio management firm with an excellent record of managing the wealth of HNW clients, seeks a professional Associate Advisor for their growing team. This role is an excellent opportunity for a passionate individual to gain hands-on experience in wealth management, working closely with Senior Investment Advisors to support client relationships, execute investment strategies, and contribute to the overall success of the firm. The Associate Investment Advisor will play a crucial role in providing exceptional service to our clients while adhering to all Canadian Investment Regulatory Organization (CIRO) rules and regulations.

Here is what the Client Service Associate opportunity offers you:

• A place to work where you are not just a number but an integral part of a great investment team and where your ideas count.
• The opportunity to work in a collaborative and supportive team environment.
• High personal satisfaction in offering an investment service that is beneficial for the financial wellness of clients and their families.

Key Responsibilities:

• Client Support & Service:
• Assist Senior Investment Advisors in managing existing client relationships by preparing for client meetings, documenting discussions, and following up on action items.
• Respond to client inquiries promptly and professionally, providing information and resolving issues related to their accounts, investments, and financial plans.
• Facilitate client onboarding processes, including completing new account applications, collecting necessary documentation, and ensuring compliance with regulatory requirements.
• Coordinate and manage client communication, including preparing and distributing reports, statements, and other correspondence.
• Investment Operations & Administration:
• Process and follow up on client documentation for proper maintenance of accounts, including transfers, deposits, withdrawals, and other transactions.
• Assist with the execution of investment trades and portfolio rebalancing under the direction of a Senior Investment Advisor.
• Maintain accurate and up-to-date client records within the CRM and portfolio management systems.
• Prepare comprehensive client reporting packages, including performance summaries, asset allocation analyses, and fee disclosures.
• Research & Analysis Support:
• Conduct research on various investment products, market trends, and economic indicators to support investment recommendations.
• Assist in the preparation of financial plans, investment proposals, and client presentations.
• Monitor client portfolios for adherence to investment policies and performance objectives.
• Compliance & Risk Management:
• Ensure all activities comply with CIRO rules and regulations, firm policies, and ethical standards.
• Stay informed about changes in market regulations and industry best practices.
• Identify and escalate potential compliance or risk issues to the Senior Investment Advisor or Compliance Officer.
• Business Development Support:
• Assist in identifying opportunities for client referrals and potential new business.
• Participate in marketing and networking activities as directed.

Qualifications:

• Education:
• Bachelor's degree in Finance, Business Administration, Economics, or a related field.
• Certifications & Licensing
• Canadian Securities Course (CSC) is required.
• Conduct and Practices Handbook Course (CPH) is required.
• Ability to meet CIRO registration requirements as an Investment Representative (IR) or Registered Representative (RR).
• Wealth Management Essentials (WME) or equivalent is a strong asset.
• Other financial designations such as Personal Financial Planner (PFP) or Chartered Investment Manager (CIM) are assets for career progression.
• Experience: 2-5 years of experience in the financial services industry, preferably within a wealth management or investment firm.
• Prior experience in a client-facing or administrative support role is an asset.
• Skills:
• Strong understanding of investment products, financial markets, and basic financial planning concepts.
• Excellent written and verbal communication skills, with a professional and client-centric approach.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
• Experience with CRM software and portfolio management systems is an asset.
• Exceptional organizational skills, with meticulous attention to detail and accuracy.
• Ability to prioritize tasks, manage multiple deadlines, and work effectively in a fast-paced environment.
• Proactive, self-motivated, and a strong team player.
• High level of integrity and commitment to ethical conduct.

What We Offer:

• Competitive salary and bonus.
• Opportunity for professional growth and career advancement within a reputable CIRO firm.
• Mentorship and guidance from experienced Investment Advisors.
• Support for obtaining additional industry designations and continuing education.
• A collaborative and supportive team environment.

Interested and qualified parties are invited to contact:

Hunter Mercantile

1-877-797-1446

[e-mail]

www.huntermercantile.com

Hunter Mercantile is an executive search firm recognized throughout North America as a boutique for placement for wealth management.

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Sales, Customer Service, and Business Development

• Industries

  Investment Management and Investment Advice

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