Investment Associate

The opportunity:

Reporting to the Senior Regional Business Administration Manager (Ontario, Quebec and Eastern Canada), 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 key role in delivering exceptional client service, supporting advisors in meeting preparation and follow-up, and ensuring all activities are completed accurately and in accordance with firm policies and applicable regulatory requirements.

Key responsibilities include:

Build and maintain strong client relationships through regular, responsive communication and proactive support; address inquiries, concerns, and service requests promptly, ensuring clear communication and timely follow-up.
Assist in preparing advisors for client meetings, including managing calendars, preparation of meeting packages, and product or account research as required.
Complete account processing, including opening and maintaining accounts, converting RRSPs to RRIFs, setting up RRIF payments, estates processing, and beneficiary updates.
Process a variety of client transactions (e.g., cheques, deposits, contributions and withdrawals, and incoming/outgoing transfers) with a high degree of accuracy.
Provide rigorous follow-up on all client transactions to ensure proper processing and minimize errors; resolve exceptions and escalate issues as appropriate.
Maintain client files and records, ensuring all documentation and notes are complete, accurate, and compliant with firm policies and applicable regulatory requirements.
Act as a resource person for clients, including generating specialized reports and responding to questions about accounts, processes, and products within role scope.
Keep up to date on firm and industry changes and support the team in updating processes accordingly.
Perform other duties as assigned.

The ideal candidate will possess:

Post-secondary education in business administration, finance, accounting, or a related field is preferred; an equivalent combination of education and relevant experience may be considered.
Professional designation such as PFP or CFA level 1 considered an asset.
Registered with CIRO as an Investment Representative (IR).
Registered with CIRO as a Registered Representative (RR) or meets the requirements to register.
3+ years of experience in wealth management or financial services in a client-service facing role.
Demonstrated experience processing client account transactions and maintaining accurate client documentation and records.
Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
Proven ability to take initiative and work independently; a self-starter who thrives in a dynamic, fast-paced environment.
Strong command of spoken and written English is required.
Excellent attention to detail with strong problem-solving and critical thinking abilities; able to identify issues, investigate root causes, and recommend practical solutions.
Exemplary interpersonal and communication skills across multiple mediums (in-person, phone, and virtual), with a collaborative, client-service mindset.
Highly organized with a consistent and reliable work ethic; able to manage a high volume of competing priorities and meet deadlines.
Comfortable with ambiguity and able to adapt quickly to changing needs, processes, and work requirements.
Maintains the highest level of confidentiality and demonstrates integrity and discretion in all client and business interactions.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Experienced in leveraging social media channels to enhance brand awareness and drive audience engagement.
Strong data-entry accuracy and the ability to learn new systems and workflows quickly while following documented procedures.