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Licensed Investment Associate

  • Permanent
  • Date Posted: October 23, 2025
  • Salary: 75-80k

Our client within investment management require a Licensed Associate to join their team. Reporting to the Investment Advisor, Associate Portfolio Manager, the Investment Associate will act 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 crucial role in building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Responsibilities :

Relationship Management & Client Consultation

  • Build and maintain strong relationships with clients through regular communication, responsiveness, and proactive support. Address client inquiries, concerns, and service requests in a timely and professional manner.
  • Act as a resource person for clients (i.e. generating specialized reports, questions about specific products, etc.)

Product Knowledge

  • Stay updated on a wide range of investment products available in the Canadian market, including stocks, bonds, mutual funds, ETFs, and alternative investments. Assess the suitability of different products based on clients’ profiles and regulatory requirements.

Compliance & Research

  • Maintaining client files, ensuring that all documentation and notes are compliant with industry regulations.
  • Keeping abreast of policy and procedure changes within the firm and industry.
  • Ensure compliance with all applicable regulations and industry standards, including CIRO rules, securities legislation, and Know Your Client (KYC) requirements. Maintain accurate records and documentation of client transactions and communications.
  • Researching industry related information from a variety of sources as requested by your Advisor.

Client Portfolio Management

  • Processing unsolicited trades and providing quotes.
  • Processing a variety of transactions (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers).
  • Account processing (converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.).
  • Assisting in preparing advisors for client meetings, including preparation of account opening documentation, product research, etc.
  • Committed to rigorous follow-up relating to all client transactions to ensure proper processing and minimization of errors.

Qualifications:

  • 2-3 years’ financial services industry experience working in a high growth environment.
  • 3+ years’ experience in a customer/client-service facing role.
  • Equivalent combination of education and experience may be considered.
  • Experience in wealth management or other regulated industry is a strong asset.
  • CIRO licensing requirements, including completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook Course (CPH) as well as active registration as an Investment Representative (IR) or Registered Representative (RR) with Canadian Investment Regulatory Organization (CIRO)
  • A commitment to fulfilling Continuing Education (CE) requirements.
  • A bachelor’s or master’s degree in business administration, accounting, finance or related field, or equivalent work experience.
  • Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
  • Proven ability to take initiative and work independently; a self-starter who thrives in dynamic environments.
  • Commitment to ethical conduct and integrity in all client interactions.
  • Excellent attitude and commitment to providing extraordinary service.
  • Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
  • Excellent problem-solving skills.
  • Strong organizational skills.
  • A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
  • Strong critical thinking and written and verbal communication skills.
  • An ability to maintain the highest levels of confidentiality.

 

To apply, upload your resume and complete the required information in the “Apply For The Job” section located to the right of the posting. Alternatively, quote the position title and email your resume to: Beth; b.title@tdspersonnel.com

If you are already registered with TDS Personnel please contact your Consultant.

 

Apply For The Job

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TDS Personnel is an equal opportunity employer and is committed to providing employment in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act. Accommodations within reason due to a disability or medical need are available on request for candidates taking part in the recruitment process.

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