Licensed Investment Advisor Assistant

The Mullings Group has been retained by our client, Haywood Securities, to find 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 career-track position is for a skilled professional who thrives on flawless execution, high-touch client service, and the operational intensity of a deal-side business.
Remote work is available for experienced candidates following the onboarding period. Compensation includes a base salary of $80,000 - 90,000 plus a revenue override tied to team commission activity.
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) required.
Conduct & Practices Handbook (CPH) required.
Wealth Management Essentials (WME) required.
U.S. securities licensing (e.g., Series 7 / Series 63 or equivalent) 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) 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.

#J-18808-Ljbffr