Associate
Location: This in-office position will be based out of our Calgary 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 more than $35 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 2024 Brokerage Report Card.
The opportunity:
Reporting to the Senior Wealth Advisor, the Associate acts as a resource for clients and supports Investment Advisors with administrative tasks and transaction processing related to managing client accounts. The Associate also plays a key role in building client relationships and ensuring efficient account management.
Key responsibilities include:
- Building 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.
- Acting as a resource person for clients (i.e. generating specialized reports, questions about specific products, etc.)
- Assisting in preparing advisors for client meetings, including preparation of account opening documentation, product research, etc.
- Staying updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments. Assess 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. Maintain 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 (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
- Account processing (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.
- Committed to rigorous follow-up relating to all client transactions to ensure proper processing and minimization of errors.
- Engaging and completing the various stages of underwriting with the insurance carriers to have policies placed.
- Creating and maintaining insurance reports.
- Maintaining and updating record of all insurance licensed personnel and assist with license renewals.
The ideal candidate will possess:
- A bachelor's or master's degree in business administration, accounting, finance or related field, or equivalent work experience.
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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 considered.
Experience in the wealth management or other regulated industry is a strong asset.
CIRO licensing requirements, including completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) as well as active registration as an Investment Representative (IR) or Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO).
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 MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Experience working with Croesus and Salesforce 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 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.
Conditions of employment:
- Must be legally eligible to work in Canada.
- Must be able to travel 5% of the time.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.
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.
To apply:
Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.
