Careers

Ready to abandon the long commute and make a real impact? If you’re the right Advisory Team, we’ll bring the branch to your neighborhood—so you can work where you live, and live where you love.

Founded in 1980, Caldwell Securities Ltd. provides independent, personalized and innovative wealth management strategies, investment solutions and professional investment management for families, individuals, corporations, trusts and foundations.

Caldwell Securities Ltd. is majority employee owned.

Your decision, your community, your future. Choose community. Choose balance. Choose us.

At Caldwell Securities Ltd., we believe in building communities, not just branches.

We have offices in: Niagara-On-The-Lake, Whitby, Oakville, Georgetown

As an Investment Advisor, we understand you want dealers to provide you with reliable operational support, robust technology platforms, and access to a wide range of investment products. You also seek strong marketing and business development support, along with compliance and regulatory guidance, and great back-office support.

Ultimately, you want a dealer that enables you to efficiently serve your clients and grow your business.

We will provide you and your Advisory Team with:

Operational Support: Efficient Trading and Custody

Product Access: Full Range of Investment Options including Private Equity Opportunities

Marketing and Business Development: Marketing Support & Business Growth Opportunities

Compliance and Regulatory Guidance: “Top-Down” Culture of Compliance & In-depth Regulatory Expertise  

• Strong Reputation and Financial Stability
• Great Back-Office Dupport
• Fee-Based Pricing Options  
• Focus on Client Outcomes
• Real Independence
• Powered By Real Voices
• Integrated Solutions
• Competitive Fees

Ultimately, this business is a people business. It is about you. It is about your clients.

We believe that the solutions we offer you should support that relationship as much as possible, without forcing you to adapt, change or limit the way you operate with your clients.

We choose integrated systems with top of line account onboarding and superior account access and trading systems, to allow you to spend less time in systems and more time with your clients.

Contact:

Rick Wood CFP, CIM

VP Client & Advisor Success

Email: rwood@caldwellsecurities.com or Tel: 416.862.7755 | 1.800.387.0859

We are always looking for skilled talent. 

We are also seeking experienced Investment Advisors with books of business who are looking to transition, and seasoned investment advisors transitioning towards retirement.

Candidate Profile:

We are looking for great individuals that possess a high degree of dedication, hustle, and ethics. For the right individual, we provide comprehensive training, coaching and support, as well as a highly rewarding career both personally and professionally. We are committed to excellence, growth and continuous improvement.

Reporting to the VP Client & Advisor Success, the Investment Advisor will have the opportunity to gain experience in the Investment industry. The motivated candidate will be a team player, have an entrepreneurial spirit, and a keen desire to serve and help clients achieve their financial goals. The successful candidate will be working towards progressing to a Senior Advisor level, and eventually graduating to a full Independent Caldwell Advisor.

About The Program:

The Caldwell Corporate Branch uses a team-based approach to wealth management.
We are a group of professional Advisors with diverse backgrounds and expertise that enlist the services of many industry leaders, experts and investment managers to deliver “true value” to our clients.

We are committed to delivering thoughtful and valuable solutions for our clients, from the most complex situations to basic needs and goals.

We build our solutions around client’s goals.
We adhere to a disciplined “Goals-Based” holistic program, where performance is measured by our success in meeting our client’s goals, not the measure of a return around a benchmark.

We constantly monitor our recommendations against client’s goals to ensure we are meeting or exceeding their targets and pro-actively make recommendations and changes when necessary.

Major Accountabilities Include:

• • • Coachable, bringing energy and passion for helping others
    • Being proactive in prospecting, marketing and organically growing our asset and client base by providing an exceptional customer experience, through a consistent, disciplined and plan led, solutions model
    • Providing knowledgeable holistic goals based advice to clients
    • Ensuring clients information is always accurate and up to date
    • Entering client trades and transactions as discussed with the client
    • Remaining up to date on regulatory rules and trading activities as it relates to client accounts
    • Following up with clients on missing documentation required
    • Maintaining client files and information on the appropriate systems
    • Ensuring all client interaction is accurately documented
    • Responding to client inquiries in a timely, responsive manner
    • Resolving issues and effecting client transactions expeditiously and accurately, and escalating issues to Manager when appropriate
    • Understanding required documentation for all client account types
    • Ensuring full compliance of all team policies and procedures
    • Identifying opportunities to deepen relationships within the existing client base (i.e. referrals, consolidation of assets, insurance, etc…)
    • Acting as partner to Caldwell business partners and Caldwell independent Advisors
    • Being a lifelong learner

What We Offer:

• • • A comprehensive total rewards program including competitive base pay, bonus opportunities and group benefits: $55,000 – $65,000 base pay plus annual bonus, to start
    • Ongoing professional training, mentoring, and coaching
    • Professional development and support for continuing education
    • Flexible work arrangements and the ability to work from any Caldwell branch offices throughout Ontario, after training is complete
    • A progressive, and high performance team environment
    • The ability to make a difference and have a lasting impact on people’s lives

Qualifications:

• 2 to 5 years’ of experience in a similar role requiring outbound sales and customer service (including bank financial service representatives; and consultative sales representatives)
• New graduates who are certain about pursuing this role are also welcome to apply
• Ability to engage clients in telephone conversations and in person meetings
• Knowledge of funds, separately managed accounts and asset allocation models
• Working knowledge of investment and retirement planning sufficient to meet the needs of clients
• Strong organizational skills
• Self-motivated and hardworking
• Empathetic and a relationship builder
• Ability to take initiative and work independently
• Ability to meet deadlines and targets
• Understanding of industry and firm compliance regulations

Education & Accreditations:

• Completed Canadian Securities Course (“CSC”);
• Conduct Practices Handbook (“CPH”) and/or Wealth Management Essentials (“WME”) completed or in progress
• Preference will be given to applicants that are already IIROC Licensed
• Must be willing to take courses to obtain a QAFP/CFP designation
• Financial designations, LLQP and industry experience are assets

Our Workplace:

We regard our employees as our most valuable asset and strive to create positive workplace culture and an environment that is fair, equitable, respectful and supportive. We encourage you to submit your application online for an opportunity to become part of our team.

Join Caldwell and be part of a highly engaged and collaborative team, where employees:

(i) have the opportunity to reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.

Caldwell is practicing “physical distancing measures” related to COVID-19, with staff required to work full time at Head Office.

Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.

We thank all applicants; however, only those selected for an interview will be contacted.

No telephone inquiries please.

Caldwell is an equal opportunity employer.

Currently this position is filled. We are always looking for skilled talent. If you choose to apply for this position, we contact you if the job becomes vacant.

We are searching for Securities / Investment Operations Analyst to join our operations team. This job includes the physical handling of securities, as well as ensuring that the settlement of all securities trades are completed on the settlement date. Moreover, the job reconciles trading and corporate actions including stock splits, spinoff mergers, and dividends. Additionally, you will assist with client account openings and client account maintenance.

Key Responsibilities:

Safekeeping and segregation of securities in the firm’s control. These securities may belong to the firm itself or its clients

• • Reconcile and maintain Investment Advisor Mutual Fund Information
  • Reconcile all firm trading and balance broker accounts
  • Security deposits/withdrawals/DWAC/DRS/transfers on CDS/DTC
  • Settling CDS trades, DTC trades, Broker Trades, Physical Trades and Donations
  • Paying out appropriate dividends to clients’ accounts on a daily basis
  • Corporate Actions (e.g., stock splits, spinoffs, mergers)
  • Calculating and submitting withholding tax information to DTC and other Brokers for US dividends
  • New Issues, maintaining documentation and communicating accordingly, to ensure settlement
  • Client account opening and maintenance
  • Knowledge and processing of Registered Accounts (RRSP, LIF, RIF, LIRA, RESP).
  • Internal/external transfers

Position Requirements:

• • • University Degree related to business, accounting or finance
    • 2-3 years previous experience at an CIRO member firm
    • Experience in the financial services industry
    • Knowledge of the rules and regulations governing the securities industry
    • Proficient in Microsoft Office (Word, Excel, Access) with a focus on advanced excel skills and Google Suite
    • Experience with Datafile is an asset
    • Excellent analytical and investigative skills with strong attention to detail
    • Excellent verbal and written communication skills
    • Experience with process efficiencies and automations
    • Knowledge of registered products (RRSP, RRIF, LIF, LIRA, RESP)
    • Excellent ability to multitask from one job to another
    • Excellent interpersonal skills and the ability to present information to different audiences
    • Disciplined work ethic and committed to producing excellence in work output
    • Ability to work with minimum supervision
    • A strong commitment to customer service
    • Strong organization and time management skills
    • High ethical standards and integrity
    • Natural curiosity and drive to learn
    • Knowledge of various financial products including equities is an asset
    • Completion of the Canadian Securities Course (CSC) is an asset

What We Offer:

• • • A comprehensive total rewards program
    • Competitive base pay, incentive opportunity and group benefits
    • A progressive and high-performance team environment

Our Workplace:

We regard our employees as our most valuable asset and strive to create positive workplace culture and an environment that is fair, equitable, respectful and supportive. We encourage you to submit your application online for an opportunity to become part of our team.

Join Caldwell and be part of a highly engaged and collaborative team, where employees:

(i) have the opportunity to reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.

Caldwell is practicing “physical distancing measures” related to COVID-19, with staff required to work full time at Head Office.

Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.

We thank all applicants; however, only those selected for an interview will be contacted.

No telephone inquiries please.

Caldwell is seeking a Receptionist to work in the downtown Toronto Head Office. This role will be tasked with telephone and reception duties, greeting visitors, organizing meetings, administrative/clerical duties, assisting with mail/couriers, preparing documents, filing, arranging drinks/meals for visitors and/or staff, operating office equipment such as photocopiers, coffee machines, dishwasher, voicemail systems and miscellaneous tasks.

Key duties and responsibilities:

• Welcoming clients and visitors into the office with a friendly and professional demeanor
• Assessing visitor needs and answering their inquiries and/or guiding them to the appropriate staff member
• Answering the main phone line and taking detailed messages – or – redirecting calls to appropriate staff
• Managing the scheduling of boardrooms and overseeing the boardrooms
• Ensuring tidiness of meeting rooms, kitchen and the reception area
• Preparing for meetings, serving coffee/beverages/lunches in meeting rooms, as required
• Sorting and distributing incoming reception mail and preparing outgoing mail and couriers (envelopes, packages, etc.)
• Coordinating and scheduling appointments and meetings
• Performing other administrative support tasks
• Drafting and proofreading correspondence, and conducting research
• Scanning documents, maintaining files and records, and sorting files so they remain updated and easily accessible
• Utilizing office appliances such as photocopiers, printers, computers, etc.
• Undertaking basic office support tasks
• Managing calendars and arranging appointments
• Assisting with client account documentation by reviewing and updating online files
• Monitoring inventory and ordering office supplies
• Managing the kitchen tidiness and cleanliness – including the refrigerator and dishwasher
• Work on special projects
• Other tasks, as directed and required.

Qualifications

• College diploma / University degree.
• 3-5 years of relevant experience in an office setting, preferably in an administrative or clerical role.
• Excellent planning and organizational skills
• Ability to prioritize, and comfortable working as part of a team or independently.
• Exceptional oral and written communication skills, including strong spelling, grammar, and punctuation.
• Excellent interpersonal skills, personable and a great attitude
• Proactive problem-solving skills
• Reliable team member
• A can-do, proactive approach to learn and grow
• Commitment to providing outstanding client service
• Strong attention to detail.
• Ability to deliver and follow through to the end on projects
• Ability to operate general office equipment
• Proficient computer skills and MS Office skills: PowerPoint, Excel; Teams and Outlook
• Strong technology acumen
• A willingness to learn industry software
• Previous financial service/brokerage industry experience (an asset)

What We Offer:

• A comprehensive Total Rewards Program, including:
  • Base Salary of $45-$55,000, depending on your knowledge and experience
  • Discretionary bonus opportunities
  • Group benefits
  • RRSP matching
  • Professional Development through Industry Courses optional (e.g.: CSC)
  • Training and mentoring
  • A progressive, and high performing team environment

Join Caldwell and be part of a highly engaged and collaborative team, where employees:

(i) can reach their full potential,

(ii) consistently deliver high-quality client experiences; and

(iii) produce significant results.

Caldwell is an equal opportunity employer.

Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.

We thank all applicants; however, only those selected for an interview will be contacted.

No telephone inquiries please.