Associate Term

Type

Full-time, 15-month term position.

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

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.

-the top-rated
* investment dealer in Canada and one of Canada’s Best Managed Companies. With over $45 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.

Investment Executive 2025 Brokerage Report Card.

Reporting to the Senior Wealth Advisor, Portfolio Manager, the Associate will act as a resource person for clients and assists Investment Advisors with administrative tasks and transaction processing related to managing client accounts. The Associate plays a crucial role in building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

• Build and maintain strong relationships with clients through regular communication, responsiveness, and proactive support. Address client inquiries, concerns, and service requests in a timely and professional manner.
• Act as a resource person for clients (i.e., generating specialized reports, questions about specific products, etc.)

Stay updated on various account types and the client benefits of each.

• 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.
• Ensure compliance with all applicable regulations and industry standards, including CIRO rules, securities legislation, and Know Your Client (KYC) requirements. Maintain accurate records 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 (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Account processing (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.
• Committed to rigorous follow-up relating to all client transactions to ensure proper processing and minimization of errors.

• A bachelor's in business administration, accounting, finance or related field, or equivalent work experience.
• 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 wealth management or other regulated industry is a strong asset.
• CIRO licensing requirements such as passing the Canadian Investment Regulatory Exam (CIRE) and/or completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH).
• Active registration as an Investment Representative (IR) or Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO).
• A commitment to fulfilling Continuing Education (CE) requirements.
• Experience with marketing and social media would be an asset.
• Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with Croesus and Salesforce is considered an asset.
• Experience with Canva or Meta Business Suite 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…