Investment Associate

Wellington-Altus Private Wealth Inc.; Winnipeg; On-site; CAD 65,000 - 90,000; Full time

Job summary

Wellington-Altus Private Wealth Inc. is seeking an Investment Associate for our Winnipeg office to support Investment Advisors with client accounts and transaction processing. You will handle relationship management, product knowledge, and compliance tasks to deliver excellent service to high-net-worth clients.

The ideal candidate has a finance or business degree, 3–5 years in financial services, and a strong commitment to integrity, confidentiality, and collaboration with cross-functional teams.

Qualifications

• Bachelor's or master's degree in business, accounting, finance, or related field, or equivalent work experience.
• 3–5 years in financial services, in a high-growth environment.
• CIRO Investment Representative (IR) or Registered Representative (RR) is an asset.
• Commitment to Continuing Education (CE) requirements.
• Professional designation such as PFP or CFP is an asset.
• Proficiency with MS Office (Word, Excel, PowerPoint, Teams, Outlook).
• Experience with Croesus is an asset.

Responsibilities

• Build and maintain strong client relationships through regular communication and proactive support.
• Address client inquiries, concerns, and service requests promptly.
• Act as a resource for clients (reports, product questions) for Advisors.
• Meet with clients to understand financial goals, risk tolerance, and preferences.
• Assist Advisors with client meetings and opening documentation.
• Follow regulatory requirements and ensure accurate client transaction records.

Skills

Relationship management

Communication skills

Problem solving

Organizational skills

Initiative

Ethical conduct

Team collaboration

Confidentiality

Adaptability

Education

Bachelor's or Master’s in business/finance

Equivalent work experience

Tools

Microsoft Office

Croesus

Job description

Location: This posting is for an existing vacancy in Wellington-Altus’sWinnipegoffice.

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.

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 theSenior Investment Advisor at Spiring Wealth Management,the Investment Associate will act as a resource person for clients andassistInvestment Advisors with administrative tasks and transaction processing related to managing client accounts. The Investment Associate plays a crucial role inprovidinginvestment advice, building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Key responsibilities include:

Relationship Management & Client Consultation

• Buildingandmaintainingstrong relationships with clients through regular communication, responsiveness, and proactive support.
• Address client inquiries, concerns, and service requests ina timelyand professional manner.
• Actingas a resource person for clients (e.g.,generating specialized reports,answeringquestions about specific products, etc.).
• Meetingwith clients to understand their financial goals, risk tolerance, and investment preferences.
• Providepersonalized investment advice and recommend suitable products and strategies to help clients achieve theirobjectives.

Product Knowledge

• Stayingupdated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments.
• Assessingthe suitability ofdifferent productsbased 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.
• Ensuringcompliance with all applicable regulations and industry standards, including CIRO rules, securities legislation, and Know Your Client (KYC) requirements.
• Maintainingaccuraterecords 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 (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.).
• Assistingin preparing advisors for client meetings, including preparation of account opening documentation, product research, etc.
• Following up onall 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,orarelated 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 professionaldesignation such as a Personal Financial Planner (PFP) or Certified Financial Planner (CFP)isconsidered an asset.
• Proficiencywith theMicrosoft Officesuite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with Croesusisconsidered an asset.
• Demonstratea high levelof accountability, reliability, adaptability, and innovation inaccomplishingday-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 tomaintainthe 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.