Caldwell Securities Ltd. (“Caldwell”) is a majority employee-owned investment dealer that has been providing sophisticated and experienced investment and wealth management advice to individuals and corporations since 1981. Caldwell’s primary business includes investment management services; mutual fund sales; and retail and institutional sales. Caldwell is a member of the Investment Industry Regulatory Organization of Canada (“IIROC”) and operates its own self-clearing operations.
We are looking for a few 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 benefits
- A progressive, and high performance team environment
- Ongoing professional training, mentoring, and coaching
- The ability to make a difference and have a lasting impact on people’s lives
- 2 to 5 years’ experience in a similar role
- Excellent communication skills, written and verbal
- 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
- Ability to take initiative and work independently
- Ability to meet deadlines and targets
- Understanding of industry and firm compliance regulations
Education & Accreditations:
- Canadian Securities Course (“CSC”) and Conduct Practices Handbook (“CPH”) 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
Caldwell is an equal opportunity employer.
To apply for this position, please send your covering letter and resume to
We thank all applicants; however, only those selected for an interview will be contacted.
No telephone inquiries please.