Client Services Associate

Montreal West Island, QC

About the Firm

Our client is a well-established, independent wealth management firm based in Montreal’s West Island, serving high-net-worth Canadian professionals, executives, entrepreneurs, and retirees. The firm delivers integrated solutions encompassing discretionary portfolio management, financial planning, and tax advisory services.

With over 25 years in business and an exceptional client retention rate, the firm has built its reputation on a personalized, client-first approach. The team manages long-term investment and retirement strategies for approximately 350 client families nationwide.

This is a collaborative, close-knit environment with a family-oriented culture—ideal for someone looking for a stable, long-term role where they can become a valued and trusted member of the team. The office offers a professional setting with on-site parking and convenient access to transit and local amenities.

Role Overview

This position was created to support the firm’s evolving business strategy and its continued commitment to delivering an outstanding client experience. As a Client Services Associate, you will provide day-to-day administrative and operational support to the advisory team while ensuring exceptional service to clients.

The role is well suited for someone with experience in wealth management or financial services who brings strong organizational skills, attention to detail, and a genuine commitment to client care.

Core Responsibilities

• Deliver consistent, high-quality client service and operational support across investment accounts on a daily basis
• Coordinate the account opening and onboarding process, including preparing documentation, tracking asset transfers, and following up on outstanding items
• Manage electronic signing platform workflows end-to-end, from initiation through completion, and escalate issues as needed
• Maintain accurate and current client records within the firm’s CRM system
• Review and reconcile daily client activity reports, identifying and flagging discrepancies for further investigation
• Handle routine client inquiries professionally and promptly, escalating more complex matters to the appropriate team members
• Coordinate client communications and follow-ups to ensure requests are resolved in a timely manner
• Assist clients with access to custodian and portfolio management platforms, troubleshooting and escalating technical issues when required
• Act as a liaison with custodians on administrative and operational requests
• Ensure all activities comply with internal procedures, regulatory requirements, and applicable compliance standards
• Provide general administrative and operational support to the broader advisory and operations teams as needed

Qualifications

• 2–5 years of relevant experience in financial administration or client service within the wealth management industry; experience at a portfolio management firm is a strong asset
• Post-secondary diploma or degree, or an equivalent combination of education and hands-on industry experience
• Familiarity with investment account types and workflows within a wealth management setting is an asset
• Exceptional client service skills with strong attention to detail, follow-through, and organizational ability
• Excellent verbal and written communication skills with the ability to build and maintain strong relationships
• A proactive, resourceful problem-solver who listens carefully and responds effectively to both client and team needs
• Proficient with Microsoft Office (Excel, Word), web-based tools, and CRM or client database systems
• Fully bilingual in English and French (written and spoken) is required

Compensation & Benefits

• Excellent base salary, based on experience and qualifications
• Competitive bonus opportunity
• Comprehensive benefits package
• Retirement savings support
• Paid time off
• Team and company events

Branch Manager

Winnipeg, MB

About the Firm

Our client is one of Canada’s leading independent investment dealers, providing a comprehensive range of investment products and wealth management services to a diverse clientele. The firm is recognized for its collaborative culture, commitment to excellence, and focus on supporting both clients and employees in achieving long-term success.

Role Overview

The Branch Manager is accountable for overseeing the activities of Financial Advisors and their support teams while delivering ongoing practice management and operational guidance at the Winnipeg office. This leadership role involves driving branch-level initiatives, championing best practices, facilitating clear communication, resolving issues, and upholding a consistently high standard of service across all daily operations.

Core Responsibilities

• Provide continuous coaching and professional development to Financial Advisors to elevate their practice and client outcomes
• Identify practice management opportunities for Advisors and establish clear performance expectations for their support staff, enabling seamless day-to-day operations
• Actively recruit talented Financial Advisors to join the firm and represent the organization within the community
• Oversee daily trading activity for Investment Advisors at the branch, ensuring proper supervision and compliance
• Ensure all Advisors and their Assistants operate in full compliance with applicable rules, laws, and regulatory requirements
• Review and approve all New Account documentation prior to execution
• Examine Non-Brokered Private Placement documentation as required
• Lead the achievement of business objectives including branch budget preparation, monthly financial report analysis, and variance resolution
• Implement firm-wide policies and procedures at the branch level and collaborate regularly with senior leadership across the organization
• Manage branch administrative personnel and handle employee relations matters as they arise
• Establish and maintain the operational records and internal controls necessary for efficient branch management
• Other duties as assigned.

Knowledge Requirements

• Strong understanding of fundamental investment concepts, practices, and procedures within the securities industry
• Knowledge of regulatory rules, requirements, and compliance frameworks
• Demonstrated expertise in management principles and team supervision

Key Skills

• Ability to effectively coach and motivate individuals toward higher levels of performance and contribution
• Experience guiding Advisors on book building, marketing strategies, team development, HR matters, and issue resolution
• Proficiency in Microsoft Office applications with a readiness to learn new tools and platforms
• Strong capabilities in client service delivery, time management, and sound decision-making
• Excellent organizational skills with the ability to manage competing priorities and multitask effectively
• Proven problem-solving abilities and a solution-oriented mindset

Core Competencies

• Take initiative and assume numerous roles and responsibilities; 
• Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail; 
• Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills; 
• Work independently as well as collaboratively within a team environment; 
• Demonstrate a professional manner to establish and maintain effective working relationships at all levels of the organization; 
• Build and execute against a vision and successfully enlisting enthusiastic buy in from team members; 
• Embrace changes in areas of media (ie. social, broadcast, etc.), regulatory requirements, etc.; 
• Demonstrate excellent work commitment and willingness to accept additional responsibilities; 
• Manage high volumes of work while maintaining accuracy; 
• Assist others with flexibility and willingness as required; 
• Exercise tact and discretion in the handling of confidential information; and 
• Communicate proficiently in English and French.

Education & Experience

• Post-secondary education required
• A minimum of 10 years of experience within the financial services industry
• At least 5 years of industry experience as an Investment Advisor or in a comparable leadership capacity at a CIRO-registered dealer
• A proven track record of building quality client relationships with a low compliance risk profile
• Prior supervisory or management experience is considered a strong asset
• Previous Branch Manager experience is a significant advantage

Licensing & Certifications

• Canadian Securities Course (CSC)
• Conduct and Practices Handbook (CPH)
• Branch Managers Course
• Effective Management Seminar
• Options Supervisors Course
• Canadian Commodity Supervisors Course

Compensation & Benefits

The firm provides a comprehensive and competitive compensation and benefits package. Benefits include extended health coverage, an RRSP matching program, an employee stock purchase plan, generous paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and more. Flexible work arrangements are available upon eligibility, and internal advancement and community involvement are actively encouraged.

Senior Branch Administrator

Montreal, QC

About the Firm

Our client is a well-established and highly regarded independent investment dealer in Canada, providing a comprehensive suite of investment products and advisory services tailored to individuals seeking personalized wealth management solutions. The organization is built on a culture of collaboration, accountability, and ongoing improvement.

Role Overview

This is a senior-level administrative leadership position within a branch office setting. The Senior Branch Administrator is instrumental in guiding and energizing the team toward delivering an outstanding client experience. Reporting to the Branch Manager, you will oversee day-to-day operational and administrative functions while ensuring consistently high service standards across all areas of the branch.

You are a dependable, self-driven professional with strong organizational capabilities who can manage competing deadlines both independently and collaboratively. A proven track record in time management and a genuine commitment to service excellence are essential.

Through effective service leadership, this role is central to cultivating a culture of excellence—partnering across the organization, mentoring administrative staff, and championing high-quality practices. The position also plays a vital part in advancing strategic priorities such as talent acquisition, staff development, and long-term business growth.

Acting as a representative of the firm in the broader community, you will spearhead efforts to strengthen existing client relationships and attract new ones.

Core Responsibilities

• Serve as the primary point of contact for Financial Advisors, Sales Assistants, and support personnel regarding operational and administrative matters
• Support the Branch Manager in supervising advisory and support staff, addressing workplace concerns, and coordinating with back-office teams to ensure seamless client service
• Stay current on industry developments, AML regulations, and internal policies; act as the branch’s liaison with corporate department heads and subject matter experts
• Deliver continuous training to Sales Assistants and Financial Advisors on evolving regulations affecting retail operations
• Manage account openings, updates, and KYC documentation to ensure full compliance with regulatory standards
• Provide back-up support to Financial Advisors and Assistants with trade entries and other transactional tasks as needed
• Coordinate and process cheques and electronic fund transfers on an as-needed basis
• Plan and execute branch and client-facing events, managing the full lifecycle from approvals through to post-event follow-up
• Contribute to the development and execution of marketing initiatives including email campaigns, seminars, and social media content
• Maintain the Branch Manager’s calendar in Outlook, coordinating and confirming meetings and appointments
• Support the completion of both internal and external compliance and regulatory audits
• Build and maintain operational records and controls that enable the Branch Manager to run the branch efficiently
• Assist in the preparation of branch budgets, analysis of monthly financial statements, and resolution of any variances
• Prepare and format correspondence, reports, presentations, and other materials using Microsoft Office applications
• Handle incoming and outgoing calls on the main office line, fielding general inquiries and client service requests
• Ensure timely completion of required continuing education and professional development courses
• Carry out general office duties and escalate issues to the Branch Manager when appropriate

Keys to Success in This Role

• Embody the firm’s vision and values, fostering a positive and engaged branch culture
• Model exceptional client service and demonstrate how to build deeper, more meaningful client relationships
• Provide hands-on support and training to ensure advisory and CRM tools are used effectively across the team
• Coach and develop employees by understanding their strengths and providing regular, constructive feedback
• Create growth pathways for team members through job shadowing, stretch assignments, and targeted training opportunities
• Build strong peer relationships to facilitate idea-sharing, informal coaching, and mentorship
• Celebrate team wins and individual achievements to reinforce high performance and organizational commitment
• Clearly communicate how individual performance expectations connect to broader business objectives
• Actively recruit talented individuals from the community to strengthen the branch team
• Collaborate closely with Human Resources on all personnel matters and employee relations
• Safeguard the firm, its clients, and its stakeholders by ensuring adherence to all regulatory requirements and internal compliance standards
• Oversee the full scope of branch operations, driving a culture of operational excellence and strong governance outcomes

Ideal Candidate Profile

• An engaging and motivational leader with a track record of coaching diverse teams, navigating change, and contributing to business profitability
• Skilled at cultivating and sustaining strong relationships across all levels—from frontline staff to senior executives and community stakeholders
• A strategic and analytical thinker who can assess complex challenges, craft creative solutions, and deliver well-founded recommendations
• Thrives in fast-moving, high-complexity environments where priorities shift frequently and ambiguity is common
• A genuine team player who actively supports others’ success, encourages open dialogue, and welcomes constructive debate
• Passionate about continuous learning and dedicated to elevating the capabilities of the broader service team through ongoing development
• Solid understanding of core HR practices including talent acquisition, performance management, and employee growth

Required Qualifications

• Minimum 5 years of experience within the investment brokerage or broader financial services sector
• Diploma or degree, or an equivalent combination of experience, education, and/or training
• Completion of Investment Representative or Registered Representative licensing requirements
• Prior experience in a supervisory or people management capacity is essential
• Bilingual proficiency (French and English) with strong written and verbal communication abilities
• Polished interpersonal and relationship management skills across multiple channels—in-person, phone, email, and video
• Demonstrated ability to handle sensitive and confidential information with professionalism and discretion
• Advanced proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint); familiarity with CRM platforms is a plus
• Strong organizational skills with the ability to juggle numerous detailed tasks in a dynamic, deadline-driven setting
• Sound judgment, proactive mindset, and strong problem-solving capabilities
• Equally effective working autonomously or as part of a collaborative team
• Meticulous attention to detail paired with a warm, professional demeanor