Careers

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.