Investment Associate

Wellington-Altus; Winnipeg; On-site; CAD 70,000 - 100,000; Full time

Job summary

Wellington-Altus Winnipeg seeks an Investment Associate to support Spiring Wealth Management. You’ll assist Advisors with client consultations, account processing, and investment research while ensuring CIRO compliance and accurate record-keeping.

The role requires 3–5 years in financial services, a relevant degree, and proficiency in MS Office. You’ll work with a high-performing team dedicated to delivering exceptional client service to high-net-worth clients.

Qualifications

• Bachelor's or Master's in business, accounting, finance, or related field; equivalent experience.
• 3–5 years in financial services in a high-growth environment.
• CIRO registration as Investment Representative (IR) or Registered Representative (RR) is preferred.
• CE requirements commitment.
• Proficiency with MS Office (Word, Excel, PowerPoint, Teams, Outlook) and ability to work independently.

Responsibilities

• Manage client relationships with regular communication and proactive support.
• Assist Advisors with administrative tasks and transaction processing for client accounts.
• Provide investment advice and recommend suitable products within regulatory guidelines.
• Prepare for client meetings, including account openings and product research.
• Maintain compliant client files and accurate transaction documentation.

Skills

Relationship management

Client consultation

Investment knowledge

Regulatory compliance

Communication

Education

Bachelor's or Master’s in business/finance

Equivalency or related experience

Tools

Microsoft Office

Croesus

CRM systems

Job description

Location

This posting is for an existing vacancy in Wellington-Altus’s Winnipeg office.

Our organization

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada’s Top Growing Companies* and the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc— the top-rated** investment dealer in Canada. With more than $50 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.

* Report on Business 2025 rankings.

**Investment Executive 2026 Brokerage Report Card.

The Team

Spiring Wealth Management

Local roots. World-class solutions.

We’ve been in this business for a long time—and developed a reputation as the best of the best.

No one knows financial advisory services like Charlie Spiring — and with Spiring Wealth Management, he’s assembled a highly-skilled team of experts with deep collective experience, specializing in customized and innovative wealth strategies for high-net-worth clients, through every stage of life.

The opportunity

Reporting to the Senior Investment Advisor at Spiring Wealth Management, 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.
• Provide personalized investment advice and recommend 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 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.
• Maintaining accurate records and documentation of client transactions and communications.
• Researching industry-related information from a variety of sources as requested by your Advisor.

Client Portfolio Management

• Processing unsolicited trades and providing quotes.
• Processing a variety of transactions (e.g., issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Processing account changes (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.
• Following up on all client transactions to ensure proper processing and minimization of errors.

The ideal candidate will possess

• A bachelor's or master's degree in business administration, accounting, finance, or a related field, or equivalent work experience is a strong asset to the role.
• 3-5 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.
• Experience in the wealth management or other regulated industry is a strong asset.
• Registered with CIRO as an Investment Representative (IR) or Registered Representative (RR).
• A commitment to fulfilling Continuing Education (CE) requirements.
• A professional designation such as a Personal Financial Planner (PFP) or Certified Financial Planner (CFP) is considered an asset.
• Proficiency with the Microsoft Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with Croesus is considered an asset.
• 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.

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.