Investment Advisor Associate

Toronto, ON

About the Firm

Our client is one of Canada’s leading independent investment dealers, providing a comprehensive suite of investment products and personalized advisory services to individuals and families seeking tailored wealth management solutions. The firm is built on a collaborative culture that emphasizes integrity, professional development, and a client-first philosophy.

Role Overview

The Investment Advisor Associate will serve as a vital member of a high-performing advisory team focused on supporting clients’ financial well-being and delivering an exceptional standard of service. This role calls for an energetic, entrepreneurial investment professional with sharp attention to detail, a positive attitude, and a proactive approach to client engagement.

As someone who will interact directly with clients on a regular basis, strong interpersonal and communication skills are essential. The ability to operate independently while contributing meaningfully within a collaborative team setting is critical to success.

Core Responsibilities

Relationship Management

• Deliver an outstanding client experience by anticipating needs, responding to inquiries proactively, and building strong, trust-based relationships over time
• Provide timely, high-quality service across all communication channels—phone, email, written correspondence, and face-to-face meetings
• Actively identify and pursue new business opportunities through consistent prospecting and relationship-building efforts

Investment Management

• Partner with the lead advisor to manage both fee-based and commission-based investment portfolios
• Prepare and present investment policy statements, portfolio evaluations, client review commentaries, and investment proposals
• Construct, monitor, and rebalance tailored investment portfolios in line with client objectives and regulatory requirements
• Support research and analysis efforts, contributing to asset allocation decisions and investment product selection
• Execute trades accurately and efficiently in accordance with client strategy and compliance guidelines
• Collaborate with the broader team to ensure client portfolios remain aligned with their financial plans and evolving circumstances
• Maintain the highest standards of integrity, professionalism, objectivity, and expertise in all client interactions

Knowledge, Skills & Abilities

• Solid understanding of core investment concepts, practices, and procedures within the securities industry
• Strong knowledge of financial markets and products, including equities, fixed income, mutual funds, ETFs, and GICs
• Analytical mindset with the ability to synthesize data and contribute to investment decision-making
• Energetic, ambitious, and outgoing—comfortable engaging with high-net-worth clients and building lasting relationships
• Client-centered approach, consistently placing clients’ interests at the forefront
• Ability to identify business development opportunities and act on them proactively
• Advanced proficiency in Microsoft Office, particularly Excel
• Familiarity with industry tools such as Dataphile, FactSet, Morningstar, and Croesus is an asset
• Marketing experience is considered a plus
• Professional discretion and tact in handling confidential and sensitive client information
• Equally effective working independently or as part of a collaborative team

Qualifications

• University degree with exposure to finance or a related discipline
• 2–5 years of experience in the investment and/or financial services industry
• Hands-on experience managing investment products such as equities, bonds, mutual funds, ETFs, and GICs
• Exceptional interpersonal and relationship management skills

Licensing & Certifications

• CIRO-licensed (required)
• CIM and/or CFP designations are considered strong assets

Compensation & Benefits

The firm offers a competitive compensation and benefits package including health benefits, an RRSP matching program, an employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and more. Internal promotion and community involvement are actively supported.

Core Values & Expectations

Associates at every level are encouraged to:

• Invest in their professional growth and inspire those around them to do the same
• Collaborate across teams to drive meaningful outcomes
• Make decisive, client-centered choices with a practical mindset
• Hold themselves and their peers accountable for delivering impactful results
• Play an active role in the firm’s continued evolution and improvement

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.