Investment Associate

Location

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

Local roots. World-class solutions.

We’ve been in this business for a long time—and developed a reputation as the best of the best.

No one knows financial advisory services like Charlie Spiring — and with Spiring Wealth Management, he’s assembled a highly-skilled team of experts with deep collective experience, specializing in customized and innovative wealth strategies for high-net-worth clients, through every stage of life.

Reporting to the Senior Investment Advisor at Spiring Wealth Management, the Investment 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 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.
• Address 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.
• Provide personalized investment advice and recommend 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.g., issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
• Processing account changes (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.
• Following up on 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 is a strong asset to the role.
• 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…