Associate - Investor Services

Harmonic Group; Toronto; On-site; CAD 55,000 - 90,000; Full time

Job summary

Harmonic Group in Toronto is seeking an Associate - Investor Services to handle day-to-day client service, review securities transactions, and ensure timely reporting. You will work under oversight to manage capital transactions, AML/KYC compliance, and regulatory documentation.

You will support a fast-paced environment with strict deadlines, managing investor inquiries and maintaining data integrity across registers and distribution lists.

Qualifications

• University degree in humanities, economics, finance, business, or related discipline.
• Recent graduate or 1+ year experience in financial services role.
• Knowledge of alternative investment products and offshore financial services industry preferred.

Responsibilities

• Deliver day-to-day client service for hedge fund, fund of funds and private equity accounts.
• Review capital transactions and maintain KYC/AML records.
• Respond to portfolio managers and investors inquiries.
• Perform AML checks and ensure regulatory documentation standards are met.
• Maintain registers and update contact details for shareholders.

Skills

AML checks

Client service

Regulatory compliance

Communication

Data integrity

Education

Bachelor's degree in humanities, economics, finance, or business

Tools

FM3

PI Web

SharePoint

Excel

Job description

Job Summary:

The Associate - Investor Services is responsible for delivering day-to-day client service, including the accurate processing and review of securities transactions and the timely completion of reporting requirements. This role operates in a fast-paced environment with strict deadlines and high client expectations. Key responsibilities include reviewing capital transaction documentation and maintaining KYC and AML records to support regulatory compliance

Essential Functions

General Responsibilities

• Work with oversight of Senior Associate - Investor Services on all aspects of investor services for a large number of hedge fund, fund of fund and private equity fund accounts with a high volume of transactions and inquiries
• Respond to requests and inquiries from portfolio managers and investors
• Perform Anti-Money Laundering (AML) checks whilst displaying a comprehensive knowledge of the established practices, processes and procedures
• Compliance with documentation standards as they relate to investor qualification criteria under U.S. and other jurisdictional requirements (FATCA, OFAC, AIFMD etc.) and client constitutive documents
• Recording and review of compliance documentation for regulatory, anti-money laundering and know-your-customer standards
• Capital Transaction processing – review, verification, acceptance and processing of capital transactions for a group of high profile and key clients
• Maintenance of member registers including responsibility for data integrity
• Review and file original documents received
• Update contact details and distribution lists for registered shareholders
• Check Investor Services inbox and SharePoint fax queue and respond to queries
• Support client phone lines and e-mail communication
  

Reconciling Responsibilities

• Log all incoming subscription, redemption and transfer transactions in FM3
• Attach downloaded SWIFT reports to transaction entries in FM3
• Add review to pending subscriptions, redemptions and transfers in FM3
• Follow up on any AML needed for subscription, redemption or transfer orders
• Submit transfer requests to client for approval
  

Other Responsibilities

• Download client contact information reports from PI Web and update information in our system on a regular basis
• Other job functions as required
  

Job Qualifications

• Qualifications: : A university graduate with a bachelor's degree in humanities, economics, finance, business, or a related discipline
• Experience: A recent graduate and/or a candidate with at least one year of experience working in a similar role in the financial services industry
• Knowledge: Technical knowledge of alternative investment products, operations and the offshore financial services industry including systems technology, valuation, prime brokerage, financing and custody preferred

Technical Requirements

• Solid working knowledge of all Windows applications with Excel to an advanced level
  

General Skills & Abilities Required

• Strong Communication Skills: Demonstrates clear verbal articulation, active listening, writing for clarity and purpose, adapting messages to diverse audiences and providing and receiving constructive feedback
• Organizational Agility in Fast-Paced Environments: Demonstrates strong organizational capabilities, effectively managing competing priorities, coordinating multiple tasks simultaneously, and maintaining accuracy and efficiency in dynamic, deadline-driven settings
• Relationship Management and Client Service Excellence: Builds and maintains strong professional relationships, understands client needs and expectations, and delivers responsive, high-quality service that fosters trust and long-term engagement
• Self-Driven Problem Solving and Work Ethic: Exhibits initiative, accountability, and persistence in identifying challenges, developing practical solutions, and delivering results while maintaining a strong commitment to professional excellence
• Strategic and Analytical Attention to Detail: Applies a detail-oriented and analytical approach to evaluating information, identifying trends and inconsistencies, and making informed decisions that support organizational objectives
• Time Management, Planning, and Prioritization Skills: Effectively organizes workload, plans activities proactively, and prioritizes responsibilities to meet deadlines, optimize efficiency, and achieve desired outcomes
• Interpersonal and People-Focused Engagement: Thrives in collaborative and client‑facing environments, building positive relationships through approachable communication, teamwork, and a genuine interest in supporting others
• Integrity and Ethical Judgment: Demonstrates high moral and ethical standards, exercising sound judgment, maintaining confidentiality, and acting with honesty, professionalism, and accountability in all interactions

Terms

• Full-Time on-site role
• Compensation commensurate with qualifications and experience