Associate Term

Job Details

Type: Full-time, 15-month term position.

Location: 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.

Reporting to the Senior Wealth Advisor, Portfolio Manager, the Associate will act as a resource person for clients and assist 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, answering questions about specific products).
• Stay updated on various account types and the client benefits of each.
• Maintain client files, ensuring all documentation and notes are compliant with industry regulations.
• Keep 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.
• Research industry-related information from a variety of sources as requested by your Advisor.
• Process unsolicited trades and provide quotes.
• Process a variety of transactions (e.g., issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Handle account processing (converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.).
• Assist in preparing advisors for client meetings, including preparation of account opening documentation, product research, etc.
• Commit 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.
• Experience in wealth management or another 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).
• Commitment to fulfilling Continuing Education (CE) requirements.
• Experience with marketing and social media would be an asset.
• Proficiency with the MS Office 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 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…