Licensed Investment Advisor Assistant

The Mullings Group; Vancouver; Hybrid; CAD 60,000 - 80,000; Full time

Job summary

A leading investment firm in Vancouver, BC seeks a skilled Licensed Investment Advisor Assistant to support Investment Advisors managing a global client base primarily in mining and capital markets. Ideal candidates will have 5+ years of relevant experience, complete required training certifications, and excel at maintaining client relationships. The role offers a competitive salary of $60,000 - $80,000, with operational support and potential for remote work post-onboarding.

Qualifications

• 5+ years of experience in investment advisory or brokerage support.
• Strong understanding of capital markets operations.
• U.S. securities licensing (Series 7/63) preferred.

Responsibilities

• Primary contact for client inquiries and documentation requests.
• Operational support for two Investment Advisors.
• Manage client onboarding and regulatory paperwork.

Skills

Client relationship management

Operations support

Organizational skills

Interpersonal communication

Proficiency with Microsoft Office Suite

Education

Canadian Securities Course (CSC)

Conduct & Practices Handbook (CPH)

Wealth Management Essentials (WME)

Tools

Dataphile

CRM systems

Microsoft Excel

Microsoft Outlook

Job description

The Mullings Group has been retained by our client, Haywood Securities, in the search for a seasoned Licensed Investment Advisor Assistant with deep experience in transactional capital markets to join a high-performing advisory team at a pivotal moment of growth. This is a career-track position for a professional who thrives on flawless execution, high-touch client service, and the operational intensity of a deal-side business.

The successful candidate will support two Investment Advisors managing a global client base across retail and institutional investors, primarily in mining and capital markets with growing activity in energy, tech, and special situations. The team holds a U.S. securities license, operates across North America, and moves fast. Onboarding support is in place, including access to a long-tenured senior operations resource at the firm. The ideal candidate builds lasting client relationships through every touchpoint, from tax documents to trade confirmations, and is looking for long-term stability with a team scaling in a strong market.

This role is based in Vancouver, BC with initial in-office onboarding preferred. Remote work is available for experienced candidates following the onboarding period. Compensation includes a base salary of $60,000 - $80,000 plus a revenue override tied to team commission activity.

Haywood Securities

Founded in 1981, Haywood is a 100 percent employee-owned investment dealer with more than 340 employees in its Canadian offices in Vancouver, Calgary and Toronto. Haywood Securities Inc. is a member of the Toronto Stock Exchange, the TSX Venture Exchange, the Montreal Exchange (MEX), the Canadian Securities Exchange (CSE), the Canadian Investor Protection Fund (CIPF), and the Canadian Investment Regulatory Organization (CIRO). In addition, Haywood Securities (USA) Inc., a wholly owned subsidiary, is a broker-dealer registered to transact securities business in the United States and is a member of the Financial Industry Regulatory Authority (FINRA).

Responsibilities

• Serve as a primary point of contact for client inquiries, account updates, documentation requests, and general service needs across a global client base.
• Provide day-to-day operational and administrative support to two Investment Advisors, enabling them to focus on client acquisition, deal origination, and market analysis.
• Support trade execution coordination, order entry, trade confirmations, and settlement follow-ups in compliance with licensing requirements.
• Manage client onboarding, account transfers, documentation, and regulatory paperwork, liaising with back-office and compliance teams as needed.
• Maintain and update client records, CRM systems, and internal databases with accuracy and attention to detail.
• Prepare client reports, investment summaries, meeting materials, and correspondence as required by the advisory team.
• Build and maintain rapport with clients through every interaction, recognizing that administrative touchpoints are opportunities to strengthen relationships and support client retention.
• Proactively identify opportunities to support business development by facilitating warm introductions, flagging client engagement opportunities, and ensuring the team’s communications reach the right audience at the right time.
• Coordinate meetings, travel logistics, conference attendance, and general practice management in a fast-paced, sometimes spontaneous operating rhythm.
• Communicate workload capacity, priorities, and blockers directly and confidently to the advisory team to ensure smooth operations and avoid bottlenecks.

Qualifications

• Canadian Securities Course (CSC) is required.
• Conduct & Practices Handbook (CPH) is required.
• Wealth Management Essentials (WME) is required.
• U.S. securities licensing (e.g., Series 7 / Series 63 or equivalent) is preferred.
• 5+ years of experience in a licensed investment advisor assistant, trading assistant, or brokerage support role, ideally on the transactional/deal side of the business.
• Proficiency with Dataphile (or comparable brokerage operations platform) is highly preferred.
• Strong understanding of capital markets operations, including capital raises, new issues, and deal-side workflows.
• Exceptional organizational skills and the ability to manage competing priorities with minimal supervision in a high-volume environment.
• Outstanding interpersonal and communication skills with a natural ability to build rapport and maintain long‑term client relationships.
• Proficiency with Microsoft Office Suite, particularly Excel and Outlook, and comfort with CRM systems.
• A client‑first mindset with a genuine willingness to do whatever it takes to deliver exceptional service.
• Confidence to communicate openly and directly with senior team members about workload, priorities, and challenges.
• Flexibility with scheduling; the nature of capital markets means work demands can shift quickly with market conditions and deal timelines.