Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

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. This role plays a crucial part in providing investment advice, building client relationships, and ensuring compliance with relevant regulations.

Responsibilities

• 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.g..: 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.

Requirements

• 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 critical thinking and written and verbal communication skills.
• An ability to maintain the highest levels of confidentiality.
• Must be legally eligible to work in Canada.
• A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

Skills

• Microsoft Office suite
• Word
• Excel
• PowerPoint
• Teams
• Outlook
• Croesus
• Salesforce
• Accountability
• Reliability
• Adaptability
• Innovation
• Initiative
• Independent work
• Ethical conduct
• Integrity
• Interpersonal skills
• Influencing skills
• Effective communication
• Collaboration
• Problem-solving
• Organizational skills
• Critical thinking
• Written communication
• Verbal communication
• Confidentiality

Location

• Toronto

Work Type

• Onsite

Experience Level

• 3-5 years of financial services industry experience
• 3+ years’ experience in a customer or client facing role

Education Level

• Bachelor's degree in business administration, accounting, finance, or a related field
• Master's degree in business administration, accounting, finance, or a related field
• Equivalent work experience

Salary/Compensations

• $80,000 - $90,000 annually

Benefits

• Health insurance
• Accident insurance
• Life insurance
• Other unique benefits per location
• Discretionary bonuses

About the Company

• Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada’s Top Growing Companies.
• 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., 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.

Equal Opportunity

• Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.
• If you require accommodation for the recruitment process, please let us know at the point of application.