Transition Associate

Transition Associate

Location:

This posting is for an existing vacancy in Wellington-Altus’s Winnipeg or Saskatoon office.

Our organization
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.

The opportunity
Reporting to the Manager, Transition, the Transition Associate will be responsible for supporting Transitions for the purpose of onboarding new Advisor Teams. Transition Associates play a key role in the growth of our business, utilizing their exceptional client service skills, combined with their keen eye for detail and process improvement to successfully manage and complete the tasks and projects associated with Advisor Onboarding.

Key responsibilities include:

Prepare account documentation & complete quality control processes  Reviewing Personal Information Form (PIF). Analyzing information contained in PIF to establish account types, platforms, additional forms and selecting templates for various scenarios per household. Identify missing information, documentation, and forms. Completing templates and preparing packages.

Manage documentation finalization, workflow initiation, and follow-up  Uploading or printing (depending on mode of delivery) packages for delivery to client. Package tracking throughout workflow process at various levels. Uploading to Docu Sign.

Complete documentation corrections  Communicating with various departments to identify and rectify required corrections. Updating documentation as required. Reinitiating and continue workflow to completion.

Complete ongoing reporting  Completing package tracking via Transition Tracker. Completing Daily Summary reporting on metrics. Updating and maintaining Smartsheet data and documents. Completing ad hoc reporting, as required.

Complete transfers processing  Reviewing transfer forms for accuracy and completeness. Initiating transfers via partner website/tools. Tracking, reconciling and following up on all transfers. Monitoring transfers for rejections and reprocess if necessary.

Provide support to incoming & recently-transitioned IA teams  Acting as a general resource person concerning the firm’s products, procedures, and policies. Liaising with marketing provider and IT provider to support the onboarding of teams.

The ideal candidate will possess:

Completion of post-secondary education in business administration, accounting, finance, or a similar field of study preferred.

1+ years’ experience in a customer/client-service facing role, or minimum of 1 year as a Junior Transition Associate.

Equivalent combination of education and experience may be considered.

Experience in wealth management/financial services or other regulated industry is a strong asset.

Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.

Strong knowledge and desire to learn new technology applications quickly, such as Docu Sign, custodian applications, WA systems.

Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.

Exceptional organizational skills.

Ability to communicate effectively, both written and verbal, with all levels within the organization, across various mediums (in-person, over the phone, virtually).

Ability to adapt quickly to changing needs and work requirements.

Demonstrated ability to learn job-specific/proprietary technology and systems in an accelerated amount of time (within 3 months of hire).

Proven, reliable work ethic with the ability to manage multiple, competing priorities.

Established ability to independently identify problems and make suggestions for improvement.

Experience working within defined processes with the ability to…