Senior Financial Planner

Ottawa, ON

About the Firm

Our client is a leading independent investment dealer in Canada, delivering a full range of investment products and personalized advisory services to individuals seeking tailored wealth management solutions. The firm operates within a team-oriented culture that values collaboration, innovation, and a commitment to continuous growth.

Role Overview

The Senior Financial Planner will be embedded within a collaborative, client-centric team dedicated to delivering an elevated standard of service. This is an excellent opportunity for a planning professional seeking a long-term career path where they can apply their expertise to benefit a growing and diverse client base.

Core Responsibilities

• Develop and deliver both straightforward projections and in-depth comprehensive financial plans for clients
• Take on a client-facing role, presenting financial plans, providing progress updates, and walking clients through their planning journey
• Provide tax-related guidance and recommendations, including analysis of CPP/OAS entitlements, RIF conversion strategies, applicable tax brackets, and corporate structuring considerations
• Support cash flow modelling, projection analysis, and annual tax package preparation
• Coordinate with internal specialist teams (tax, insurance, trust) and document any estate planning recommendations or action items that arise
• Contribute to insurance, financial, and estate planning initiatives where experience permits; otherwise, this represents a key area for professional development

Required Skills & Competencies

• Knowledge and experience in financial planning principles and core concepts
• Strong client service orientation with polished relationship management skills across all channels—in-person, phone, email, and video
• Proficiency in Microsoft Office applications, with a willingness to quickly adopt new tools and platforms
• Previous experience with financial planning software (e.g., Conquest or similar) is considered an advantage
• Excellent organizational abilities with a proven capacity to manage multiple priorities and deadlines in a high-volume setting
• Sound judgment and strong problem-solving skills, with the ability to think critically under pressure
• Demonstrated ability to work both independently and as a collaborative member of a team
• Professional discretion and tact when handling sensitive or confidential client information
• Flexible and willing to support colleagues and take on additional tasks as the business requires
• Meticulous attention to detail while maintaining a consistently high level of service
• Proficiency in French is considered an asset

Education & Experience

• Hands-on experience with advanced planning scenarios, such as the integration of closely held corporations, trust structures, and/or cross-border planning
• An accounting designation or equivalent relevant education and experience is considered an asset

Licensing & Certifications

• Certified Financial Planner (CFP®) designation is mandatory
• Chartered Retirement Planning Counselor (CRPC) designation is required, or the candidate must be willing to obtain it within 12 months of joining

Travel

Some travel may be required on an occasional basis.

Senior Trust Advisor

Toronto, ON

 About the role

Our client is one of Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Working as a member of the Estate & Trust Solutions Team the Senior Trust Advisor will report to the regional AVP, Estate & Trust Solutions. The successful candidate will be engaged in business development strategies to drive partnership internally with financial advisors as well as externally with a COI network. You are a goal-oriented team player capable of managing a book of estate and trust accounts. You will ensure the ongoing delivery of premium service to partners and their clients while simultaneously building and maintaining strong relationships with internal and external COI partners.

What will your role be responsible for?

• Work collaboratively with all members of the Senior Trust team to deliver best in class service and support to our clients, internal partners, and external stakeholders;
• Support the delivery of Senior Trust estate planning, trust, and estate advice including collaborating with clients’ lawyers and other external advisors to ensure the timely execution of wills, trust deeds and agency agreements;
• Partner with advisors to meet with their High Net Worth clients and prospects, demonstrating the value of our holistic wealth offering and identifying opportunities to assist clients with their estate planning needs through the use of our trust solutions;
• Develop and strengthen relationships and build new relationships with clients, partners, COIs, with the goal of enhancing networking opportunities and new business engagement for Senior Trust;
• Conduct skill builds, presentations, webinars to enhance the knowledge and understanding of the estate and trust offering to our internal and external partners for the local market;
• Support the advancement of the market business plan and work in close collaboration with the regional AVP, Estate & Trust Solutions to meet the regional business plan goals;
• Maintain up-to-date knowledge and understanding of estate and trust laws, common law and other relevant legislation, case law, and internal policies and procedures;
• Act in accordance with Senior Trust policy & procedure and ensures all new business is reviewed and approved according to policy;
• Always act in the best interest of the clients to provide the appropriate level of service and guidance to prospective clients and their families on all aspects of estate planning;
• Responsible for the delivery and oversight of timely, accurate, and professional administration of estate, trust, and power of attorney accounts (both fiduciary and agency);
• Collaborate with Compliance, Operations, Legal and other related lines of business to resolve system, administrative, risk management and legal issues related to account administration; and
• Other duties and projects assigned.

Skills, Knowledge, & Requirements

• Minimum 3 years experience in estate, trust, or financial planning and/or university degree in related field
• Preference given to experience managing estate, trust & power of attorney accounts;
• Experience working with High Net Worth clients and their wealth advisors;
• Technical proficiency related to wealth planning strategies such as insurance, philanthropy, taxation;
• Excellent written and verbal communication skills;
• Exceptional critical thinking and analytical skills so as to identify and resolve diverse, complex, and ambiguous issues in a timely and practical manner;
• Strong interpersonal skills and ability to work well under pressure;
• General knowledge of other province’s estates, trusts and powers of attorney for property laws;
• Available for intra-provincial travel on occasion; and
• STEP or MTI designation would be an asset.

What can you expect from our client?

Our client offers flexible workstyles, a competitive compensation, and benefits package. Our clients’ benefits range from health benefits, RRSP matching program, employee stock purchase plan, paid time off, volunteer days, discretionary bonuses, tuition reimbursement, and many more!  They also support internal promotion and community involvement.

Position: Senior Compliance Officer

About the Role

Our client is looking for a Senior Compliance Officer to join their collaborative team and help them maintain the highest standards of regulatory compliance. Reporting directly to the Chief Compliance Officer (CCO), you’ll play a key role in overseeing daily compliance operations, monitoring regulatory changes, and supporting audits — all while helping shape the evolution of our compliance program.

This is a great opportunity for an experienced compliance professional who thrives in a dynamic environment and wants to make a real impact across the firm.

What You’ll Do

• Approve client risk ratings (EDD), new account openings, and KYC updates
• Review and approve post-trade and bookkeeping reports
• Correct trade errors and oversee daily compliance processes
• Prepare quarterly due diligence audits and regulatory reports
• Monitor regulatory developments (CSA, CIRO, FINTRAC, IRS) and recommend policy updates
• Support internal and external audits, as well as compliance training initiatives
• Once CIRO-approved, review and approve social media and external communications

What We’re Looking For

• 5+ years of compliance experience in a CIRO-regulated firm
• Portfolio Manager designation (in good standing), or CIM® designation + 2 years of investment management experience, or Supervisor for Managed Accounts category with CIRO
• Completion of the Investment Dealer Supervisor Course (within 4 months of hire)
• Strong knowledge of CIRO, CSA, and FINTRAC requirements
• Proven experience with CIRO/OSC audits
• Advanced Microsoft Office skills (Excel, Word, SharePoint)
• French is an asset

Ideal Candidate Profile

• Highly organized, analytical, and detail-oriented
• Strong communicator with high ethical standards
• Collaborative team player who enjoys variety in their work
• Proactive, adaptable, and thrives in a dynamic, entrepreneurial environment

Why Join?
At our client, you’ll be part of a growing, collaborative firm where your work has a direct impact. You’ll gain exposure to a wide range of compliance functions, have the opportunity to shape processes, and work closely with leadership in a supportive environment.

Director, Distribution & Advisor Solutions

Description:

Our client is seeking an exceptional Director, Distribution & Advisor Solutions to help supercharge its advisor segments. They are looking for an entrepreneurial individual with an established network and strong financial markets understanding to join their team. In this role, you will interact with financial advisors from Canada’s largest financial institutions to introduce and explain the firm’s investment solutions alongside the investment team.

Responsibilities:

• Cultivate and manage relationships with financial advisors and to enhance our footprint and generate new business opportunities.
• Work closely with portfolio managers to gain a deep understanding of our investment solutions and technical concepts to communicate these effectively to potential investors.
• Design a scalable, structured and engaging investor journey starting from the first touchpoint to the investor becoming a client.
• Coordinate and lead meetings with potential and existing clients, ensuring they are well-informed and comfortable with our approach and performance.
• Provide consistent feedback to internal teams regarding investor sentiments, market trends, and competitive landscape.
• Develop and distribute clear investment presentations, quarterly updates, and marketing collateral for the advisor segments.
• Act as the primary point of contact for investor inquiries, addressing concerns, and ensuring high levels of client satisfaction.
• Work closely with internal teams, including marketing, operations, and compliance, to ensure our service delivery is seamless and meets the highest standards.

Required Skills and Experience:

• Proven experience in business development or investor relations within the financial services or investment management industry.
• An established network within the financial advisors’ segments.
• Strong understanding of financial markets, investment strategies, and portfolio management.
• Exceptional presentation, communication, and active listening skills.
• Ability to simplify complex investment strategies into digestible and compelling narratives for a diverse audience.
• Expertise in utilizing CRM as an everyday tool, ensuring all business development interactions and prospect communications are accurately logged and optimized for enhanced automation and investor journey.
• Demonstrated ability to work independently and as part of a team in a fast-paced environment.
• Innate curiosity, self-driven, resourcefulness, team-worker, and attention to detail.
• High ethical standards and an unwavering commitment to professional integrity.
• A bachelor's degree in finance, economics, business administration, or related fields; an investment designation or equivalent would be advantageous.
• Fluent in French and English.

Our client offers:

• Competitive compensation is tailed for entrepreneurial mindsets.
• A high-performance, collaborative team environment.
• Opportunities for professional development within a growing organization.
• A dynamic and friendly work environment.
• Medical and dental insurance for employees and dependents, life & disability insurance.
• Offices located in the center of the financial district
• Hybrid work: We all have families and obligations; we facilitate the conciliation of office/remote work.

The culture:

Our client prides itself on cultivating a workplace where:

• Innovation Drives Us: We are relentless in our pursuit of fresh ideas and groundbreaking solutions. We encourage out-of-the-box thinking and celebrate creativity.
• Collaboration is Key: Our teams are built on mutual respect, open dialogue, and collaborative spirits. We believe that by working together, we can achieve greater outcomes.
• Continuous Learning: We are committed to the professional growth and development of our team. Whether it's attending industry conferences, internal training, or informal knowledge-sharing sessions, we strive to stay at the forefront of the tech and finance worlds.
• Agility and Adaptability: In a rapidly changing industry, we prioritize agility. We adapt to challenges and are always ready to pivot our strategies to stay ahead.
• Individual Ownership: While we thrive as a team, we also celebrate individual achievements and give everyone the autonomy to take ownership of their work.
• Diversity and Inclusion: Different perspectives enrich our company. We are dedicated to creating an environment where everyone feels valued, heard, and empowered to contribute.