Assist Investment Advisor

About the Role

Join a high-performing independent wealth management practice serving high-net-worth (HNW) clients. As an Investment Associate, you'll support the Investment Advisor by managing licensed investment transactions, delivering exceptional client service, ensuring regulatory compliance, and assisting with portfolio administration. You'll become the day-to-day point of contact for clients while helping drive a seamless client experience.

Key Responsibilities

• Serve as the primary day-to-day contact for HNW clients by phone, email, and in person.
• Prepare client meeting materials, portfolio reviews, performance reports, and supporting documentation.
• Process licensed transactional work, including trades, portfolio rebalancing, NAAFs, account transfers, EFTs, PAC/SWP setups, and routine account maintenance.
• Update client banking information, KYC records, and maintain accurate, audit-ready client files.
• Ensure compliance with CIRO regulatory requirements and support audit preparation.
• Assist with financial planning, investment proposals, and client presentations.

Qualifications & Experience

• CSC and CPH completed or in progress.
• 3–5+ years of experience in a wealth management, brokerage, or investment dealer environment.
• Strong knowledge of investment products, trade processing, and Canadian (CIRO) compliance.
• Excellent organizational, communication, and client service skills.
• High level of discretion when handling confidential HNW client information.
• Proficiency in Microsoft Office (Outlook, Word, Excel, PowerPoint, Teams).

Strong Assets

• Active CIRO Investment Representative (IR) registration.
• Experience with Fidelity Clearing Canada, Unified, U-Direct, or U-Open.
• Experience with Salesforce or similar CRM and Power BI.
• Undergraduate degree in Business, Finance, Economics, or a related field.