Careers

Candidate Profile:

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.

 

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

 

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.

 

 

We are seeking an experienced Executive Assistant to support an executive who is both the Director of Caldwell Securities Ltd. and Chief Executive Officer of Caldwell Investment Management Ltd. The job is located in our Head Office in Toronto, Ontario.

 

What will you do?

• • Work closely with the executive and his clients
  • Manage professional and personal calendars and emails
  • Provide outstanding wealth management service to clients
  • Provide administrative support
  • Develop and maintain excel, word and power point documents
  • Work on special sales projects; and interface with clients
  • Use technology/systems to support clients
  • Maintain knowledge of client accounts by reviewing daily activity online and applicable reports
  • Conduct research, as required
  • Research and resolve inquiries and issues related to accounts
  • Assist with personal administrative affairs, as required
  • Coordinate and schedule appointments and meetings
  • Draft and proofread correspondence
  • Scan documents, maintain files and records
  • File so that information remains updated and easily accessible
  • Assist with all office tasks
  • Assist in organizing corporate events
  • Take meeting minutes
  • Other administrative projects, duties or responsibilities, as directed

 

What do you need to succeed?

• • • A post-secondary degree (business related diploma or degree)
    • 8-10 years of administrative experience
    • Previous financial service / brokerage industry experience
    • Investment Representative/ Registered Representative Designation)
    • Investment Industry Courses and designations are required (e.g.: CSC, CPH, WME)
    • Strong communication skills – verbal and written
    • Above average mathematical acumen
    • Exceptional client service skills
    • Excellent interpersonal skills
    • Proactive problem solver
    • Great attitude and personable
    • Reliable member of the team
    • A can-do, proactive approach to learn and grow
    • Ability to plan, organize, and prioritize
    • Ability to deliver and follow through to the end on projects
    • Ability to plan, organize, prioritize and multi-task
    • Ability to adhere to the highest level of privacy and confidentiality
    • Proficiency with PowerPoint, Excel, CRMs, and Outlook
    • Strong technology acumen: a willingness to learn industry software, WebEx / Zoom and Teams
    • Strong attention to detail

 

What will we offer?

• • • Base Salary of $80-100,000, depending on your experience
    • Discretionary bonuses
    • Group benefits
    • Professional Development
    • A progressive, and high performing team

 

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.

 

 

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.