Independent Financial Advisor

Job Title:
Independent Financial Adviser

Location: Perth, Ontario | Remote-friendly, with in-person client meetings as needed

Opportunity: Independent, commission-based practice

Duration:
Full-time

Start Date:
There is no fixed start date

Interview Process: 2 Rounds (1st virtual and 2nd In person)

Role Overview

Grow your practice with the support of an established branch

An independent established, full-service wealth management firm branch in Perth is seeking a Financial Advisor to bring, manage and grow their own book of business. This opportunity combines the autonomy of running your own practice with access to shared administrative support, office space, branch-level oversight and client resources.

You’ll remain responsible for your clients and the direction of your business. The branch is particularly interested in speaking with advisors who have approximately $30 million-$40 million in assets under management (AUM) and want to keep growing. That is an indicative range, not a strict cutoff; the overall fit and economics of the arrangement will be considered with each advisor.

Your practice and responsibilities

In this role, you will:

• Manage your own client relationships and provide ongoing advice appropriate to your licensing.
• Grow your practice through proactive business development and relationship-building.
• Lead client meetings, including the initial appointments involved in moving clients to this client.
• Guide clients through account opening and transfers, gathering required information directly during initial onboarding.
• Work with the branch’s shared support team on scheduling, paperwork processing, account administration and financial plans.
• Use available client specialists and resources when clients need support beyond your own practice.
• Meet applicable regulatory, licensing, supervision and compliance requirements.

This is not a role managing the branch leader’s existing book. You would bring and run your own practice, with support available through the branch.

What we’re looking for

You may be a strong fit if you have:

• An established, portable book of business. Approximately $30 million-$40 million AUM is the target range, though advisors with other book sizes may be considered.
• A clear path to transferring your clients. Your ability to bring your book must be assessed in light of any client-ownership, contractual or other restrictions.
• Appropriate licensing. Securities/equity licensing is relevant to the full-service business conducted at Raymond James. Advisors currently licensed only for mutual funds may be considered if they are prepared to complete the additional licensing requirements, subject to client approval and timelines.
• A proactive approach to growth. You’re interested in developing your business rather than relying on clients to come through the door.
• A collaborative working style. You treat clients and colleagues with respect and value a positive office environment.
• Adaptability. You’re comfortable learning new tools and adjusting as systems and ways of working change.

There is no separate minimum-years-of-experience requirement. The focus is on your book, licensing, ability to transfer client relationships and fit with the branch.

Financial Advisor is the working title for this posting. The successful candidate’s approved professional title will depend on their credentials, licensing and applicable compliance requirements.

Independence backed by support

Under the commission-share arrangement, you would have access to shared assistants who can help with phone coverage, appointment booking, paperwork processing, day-to-day account administration and financial plans. You would continue to lead the advisor responsibilities that must be handled personally, including initial client…