Investment Associate

Location

This posting is for an existing vacancy in Wellington-Altus's Toronto office.

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada's Top Growing Companies
* and the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc - the top-rated
** investment dealer in Canada. With more than $50 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.

* Report on Business 2025 rankings.

** Investment Executive 2026 Brokerage Report Card.

Reporting to the Senior Investment Advisors, the Investment Associate acts as a resource person for clients and assists Investment Advisors with administrative tasks and transaction processing related to managing client accounts.

The Investment Associate plays a crucial role in providing investment advice, building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

• Building and maintaining strong relationships with clients through regular communication, responsiveness, and proactive support.
• Addressing client inquiries, concerns, and service requests in a timely and professional manner.
• Acting as a resource person for clients (e.g., generating specialized reports, answering questions about specific products, etc.)
• Meeting with clients to understand their financial goals, risk tolerance, and investment preferences.
• Providing personalized investment advice and recommending suitable products and strategies to help clients achieve their objectives.

• Staying updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments.
• Assessing the suitability of different products based on clients' profiles and regulatory requirements.

• 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.
• Ensuring compliance with all applicable regulations and industry standards, including CIRO rules, securities legislation, and Know Your Client (KYC) requirements.
• Maintaining 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 (e..: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Processing of account updates (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.
• Rigorously following up with all client transactions to ensure proper processing and minimization of errors.

• A bachelor's or master's degree in business administration, accounting, finance, or a related field, or equivalent work experience.
• An equivalent combination of education and experience may be considered.
• 3-5 years of financial services industry experience working in a high-growth environment.
• 3+ years' experience in a customer or client facing role.
• Experience in wealth management or other regulated industry is a strong asset.
• Registered with CIRO as an Investment Representative (IR) or Registered Representative (RR) or meets the requirements to register.
• A commitment to fulfilling Continuing Education (CE) requirements.
• Professional designation such as a Personal Financial Planner (PFP) or Certified Financial Planner (CFP) is considered an asset.
• Proficiency with the Microsoft Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Experience working with Croesus and Salesforce is considered an asset.
• Ability to 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.
• A 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 mediums (in-person, over the phone, and virtually).
• Excellent problem-solving skills.
• Strong organizational skills.
• A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
• Strong…