Investment Associate

Wellington-Altus; Swift Current; On-site; CAD 50,000 - 75,000; Full time

Job summary

Wellington-Altus is seeking an Investment Associate for their Swift Current office. This in-office position involves providing investment advice, managing client relationships, and ensuring compliance with regulations. The ideal candidate will have a degree in finance or related field and relevant experience in the financial services industry.

Qualifications

• 3-8 years’ experience in the financial services industry.
• 2+ years’ experience in a customer/client-service role.
• IIROC licensing requirements including CSC and CPH.

Responsibilities

• Building and maintaining strong relationships with clients.
• Providing personalized investment advice.
• Ensuring compliance with industry regulations.

Skills

Client Relationship Management

Investment Advice

Compliance

Communication

Problem Solving

Education

Degree or diploma in business administration, accounting, finance, or related field

Tools

MS Office Suite

Croesus

Job description

Location : This in-office position will be based out of our Swift Current office.

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 $30 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 Team :

The most consequential wealth decision you make is the wealth team you select. It’s not just about the money; it’s about the purpose. We have the courage and conviction to have conversations with you that others aren’t having. Together we craft your plan and bring it to life.

The opportunity :

Reporting to an Investment Advisor, the Investment Associate will act as a resource person for clients and assist Investment Advisors with administrative tasks and transaction processing related to managing client accounts.

The Investment Associate plays a crucial role in providing investment advice, building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Key responsibilities include :

Relationship Management & Client Consultation

• 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 (e.g., generating specialized reports, answering questions about specific products, etc.)
• Meeting with clients to understand their financial goals, risk tolerance, and investment preferences.
• Providing personalized investment advice and recommending suitable products and strategies to help clients achieve their objectives.

Product Knowledge

• Staying updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments.
• Assessing the suitability of different products based on clients' profiles and regulatory requirements.

Compliance & Research

• Maintaining client files, ensuring 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 KYC requirements.
• Maintaining accurate records of client transactions and communications.
• Researching industry-related information from various sources as requested by your Advisor.
• Processing unsolicited trades and providing quotes.
• Processing a variety of transactions (e.g., issuing cheques, deposits, contributions, 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 account opening documentation and product research.
• Ensuring rigorous follow-up on all client transactions to minimize errors.
• Performing other duties as assigned.

The ideal candidate will possess :

• A degree or diploma in business administration, accounting, finance, or related field, or equivalent work experience.
• 3-8 years’ experience in the financial services industry within a high-growth environment.
• 2+ years’ experience in a customer/client-service role.
• Equivalent education and experience may be considered.
• Experience in wealth management or regulated industry is a strong asset.
• IIROC licensing requirements, including completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH), and active registration as an Investment or Registered Representative with CIRO.
• A commitment to ongoing Continuing Education (CE).
• Professional designations such as PFP or CFP are considered assets.
• Proficiency with MS Office Suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience with Croesus considered an asset.
• High accountability, reliability, adaptability, and innovation.
• Commitment to ethical conduct and integrity.
• Excellent attitude and service orientation.
• Strong interpersonal, communication, and collaboration skills across multiple mediums.
• Excellent problem-solving and organizational skills.
• High tolerance for ambiguity and ability to manage multiple priorities.
• Strong critical thinking and communication skills.
• Ability to maintain confidentiality.

Conditions of employment :

• Must be legally eligible to work in Canada.
• Active registration as an Investment or Registered Representative with CIRO.
• A background check may be required.

Wellington-Altus is committed to equity and diversity and encourages applications from all qualified individuals, including women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. We welcome applications that contribute to our organizational diversification.

If you require accommodation during the recruitment process, please inform us at the time of application.

To apply :

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