Careers

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.

 

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.

 

Caldwell has prepared a Five-Year Accessibility Plan for December 31, 2017-December 31, 2022. Please contact us for a copy of the Five-Year Accessibility Plan, an Accessibility Feedback Form and/or to leave comments about our website. All information is available in accessible formats by request.

 

Applications, cover letters and resumes may be sent to careers@caldwellsecurities.com

 

ADMINISTRATIVE ASSISTANT, in Oakville

Caldwell Securities Ltd. is seeking an Administrative Assistant. This role will be supporting the Investment Advisor Team and Operations in our Oakville, Ontario branch office.

 

What Will You Do?

  • Provide administrative/clerical support
  • Develop and maintain excel, word and power point documents
  • Work on special projects
  • Help maintain client account documentation by reviewing and updating online files
  • Provide world class client service to our valued clients
  • Work with Branch Advisors to create and implement prospecting strategies
  • Organize meetings; and coordinate with meeting attendees
  • Organize events/seminars for clients and prospects
  • Research and resolve inquiries and issues related to accounts
  • Receive and distribute mail/couriers
  • Prepare and file documents
  • Greet visitors and take care of reception
  • Arrange drinks and meals for visitors and/or staff, as required
  • Miscellaneous tasks, as required

 

What Do You Need to Succeed?

  • Familiarity with Oakville and Burlington
  • A post-secondary degree is an asset (business related diploma or degree); and new graduates are welcome to apply
  • Administrative experience
  • Strong communication skills – verbal and written
  • Good knowledge of social media, the ability to work with marketing and/or post online for the branch
  • Above average mathematical acumen
  • Exceptional client service skills
  • Excellent interpersonal skills
  • Proactive, problem solver, analytical
  • 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
  • Proficiency with PowerPoint, Excel, CRMs, and Outlook
  • Strong technology acumen: a willingness to learn industry software, WebEx / Zoom and Teams
  • Previous financial service / brokerage industry experience (an asset)
  • Investment Industry Courses and designations are an asset

 

What Do We Offer?

  • Some work scheduling flexibility for parents with school age children
  • Base Salary of $45-60,000, depending on your experience
  • Discretionary bonus opportunities and group benefits
  • Professional Development through Industry Courses and designations (e.g.: CSC, CPH, WME, Investment Representative/ Registered Representative Designation)
  • A progressive, and high performing team

 

What Will You Do?

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

 

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

 

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.

 

 

ADMINISTRATIVE ASSISTANT, in Toronto

We are seeking an experienced Administrative Assistant for Caldwell Securities. The job candidate will be supporting a CEO and Investment Advisor at our Head Office in Toronto, Ontario.

 

What will you do? 

  • Provide outstanding service to clients
  • Provide administrative support to a Caldwell Executive
  • 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
  • Research and resolve inquiries and issues related to accounts
  • Manage professional and personal calendars and emails
  • Assist with personal administrative affairs, as required
  • Coordinate and schedule appointments and meetings.
  • Draft and proofread correspondence; and conduct research.
  • 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 is an asset (business related diploma or degree)
  • 5-8 years of administrative experience in the investment industry
  • Strong communication skills – verbal and written
  • Exceptional client service skills
  • Excellent interpersonal skills
  • Proactive, problem solver, analytical
  • Great attitude and personable
  • Reliable member of the team
  • A can-do, proactive approach to learn and grow
  • Ability to plan, organize, prioritize, and multitask
  • Ability to deliver and follow through to the end on projects
  • 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
  • Previous financial service / brokerage industry experience (an asset)
  • Investment Industry Courses and designations are required and must be completed within first 30 months of employment (e.g.: CSC, CPH, WME, Investment Representative/ Registered Representative Designation)

 

What will we offer? 

  • Base Salary of $50-80,000, depending on your skills, education and experience
  • Discretionary bonus opportunities
  • Group benefits
  • Mentorship and Professional Development through Industry Courses
  • A progressive, and high performing team

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.

 

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

 

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.

 

 

CLIENT ACCOUNT SPECIALIST

We are searching for a Client Accounting Specialist to join our operations team. The Client Accounting Specialist job requires a job candidate who is detail oriented and focused on providing outstanding client service in a timely fashion. If you are dedicated and ambitious, Caldwell is an excellent place to grow your career.

 

Key Responsibilities:

  • Responding to client requests quickly, accurately and in a timely manner
  • Opening/updating client accounts; and closing client accounts
  • Transferring accounts in and out
  • Processing daily, monthly, and yearly reports to Computershare regarding all registered products – RRIF, RRSP, RESP, LIRA, LIF
  • Processing client cheques/EFT in and out
  • Preparing tax slips, reports for IRS/CRA (FATCA, CRS, etc.)
  • Reviewing and ensuring accurate information in client files and on monthly statements
  • Responding to inquiries and providing information to sales assistants and Investment Advisors

Position Requirements

  • University Degree related to business, accounting, finance or mathematics
  • New graduates with relevant education are welcome
  • Ideally, 1-3 years of previous experience with an IIROC member firm
  • Excellent analytical and investigative skills with strong attention to detail
  • Excellent interpersonal skills with 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
  • Exceptional verbal and communication skills
  • Strong organization and time management skills
  • High ethical standards and integrity
  • Flexibility to multi-task from one job to another
  • Excellent time management skills and self-motivation
  • Knowledge of the rules and regulations governing the securities industry is an asset
  • Proficiency in Microsoft Office (Word, Excel) and Google Suite
  • Experience with Dataphile is an asset
  • 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) can reach their full potential,

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

(iii) produce significant results.

 

Caldwell is an equal opportunity employer.

 

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

 

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.

 

 

PORTFOLIO MANAGER

We are searching for a Portfolio Manager to join our Investment Advisory team. The Portfolio Manager Job requires an individual who will manage and grow the discretionary account programs at Caldwell Securities Ltd. If you are dedicated and ambitious, Caldwell is an excellent place to grow your career.

 

Key Responsibilities:

 

Day-to-Day Portfolio Management:

    • Buying and selling securities in client portfolios to support investment objectives and individual client needs.
    • Working closely with Investment Advisors, operations, trading and compliance teams.

 

Ongoing Duties and Responsibilities:

      • Writing a quarterly commentary for each managed account program for client distribution.
      • Assisting in the generation of investment policy statements.
      • Evaluating the performance of investment portfolios in the achievement of client goals.
      • Ensuring compliance with industry rules and regulations.
      • Creating and maintaining metrics to report progress and support decision-making at the team or organization level.
      • Communicating with clients and their Investment Advisors about their accounts, market conditions and economic trends.
      • Participating in the activities of Caldwell’s Investment Management committee.

 

Marketing and Sales:

      • Marketing the firm’s discretionary account programs to Caldwell Investment Advisors.
      • Assisting in the development of marketing materials.
      • Developing and conducting seminars for Investment Advisors and for Investment Advisors with their clients.
      • Meeting with clients and prospects.
      • Analyzing and appraising the effectiveness of marketing methods, costs and results.

 

Position Requirements:

Four years of relevant investment management experience with an IIROC member firm.
Graduate or Undergraduate degree in Finance or Commerce is an asset.
Completion of the following courses and/or designations:

          • Canadian Securities Course (CSC)
          • Conduct and Practices Handbook Course (CPH)
          • Canadian Investment Manager Designation or Chartered Investment Manager Designation (CIM) or CFA Charter administered by the CFA Institute (CFA)
          • The following courses would be considered an asset:
                • Derivatives Fundamentals Course (DFC)
                • Options Licensing Course ((OLC)
                • Derivatives Fundamentals and Options Licensing Course (DFOLC)
      • Strong written and verbal communication skills
      • Excellent interpersonal skills with the ability to present information to different audiences
      • A strong commitment to customer service
      • Disciplined work ethic and committed to producing excellence in work output
      • Advanced working knowledge of Excel and Microsoft Office products
      • Proficiency in Capital IQ and Bloomberg is an asset
      • Experience with Dataphile is an asset
      • Good working knowledge of the Google suite of products is also an asset
      • High ethical standards and integrity
      • Flexibility to multi-task from one job to another
      • Excellent organization skills, time management skills and self-motivation
      • Natural curiosity and drive to learn
      • An entrepreneurial spirit

 

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) can reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.

 

Caldwell is an equal opportunity employer.

 

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

 

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.

 

 

SECURITIES OPERATIONS SPECIALIST

We are searching for a Securities Operations Specialist 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.

 

Key Responsibilities:

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

 

Positions Requirements:

  • University Degree related to business, accounting or finance
  • 2-3 years previous experience at an IIROC 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) and Google Suite
  • Experience with Dataphile is an asset
  • Excellent analytical and investigative skills with strong attention to detail
  • Excellent verbal and written communication skills
  • 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) can reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.

 

Caldwell is an equal opportunity employer.

 

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

 

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.