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.

 

RECEPTIONIST / OFFICE ASSISTANT / CONCIERGE

 

Caldwell is seeking a Receptionist / Office Assistant / Concierge. 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 and meals for visitors and/or staff, and miscellaneous tasks.

Company Description:

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.
 
Key duties and responsibilities for the position:

  • Welcoming clients and visitors into the office in 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.
  • Maintaining tidiness of meeting rooms, kitchen and the reception area.
  • Preparing meeting rooms in advance of meetings, including but not limited to serving coffee / beverages / lunches and setting up technology as required.
  • Receiving and distributing incoming and outgoing couriers.
  • Coordinating and scheduling appointments and meetings.
  • Drafting and proofreading correspondence; and conducting research.
  • Scanning documents, maintaining files and records, and filing so that information remains updated and easily accessible.
  • Assisting with basic back office tasks, invoices, cheques, etc.
  • Monitoring inventory and ordering office supplies.
  • Assisting in organizing corporate events.
  • Interacting with directors when necessary.
  • Performing other administrative support tasks.

 

Qualifications:

  • High school diploma / College diploma / University degree.
  • 3-5 years of relevant experience in an office setting, preferably in an administrative or clerical role.
  • Experience in an investment management firm/setting an asset.
  • Excellent organizational skills, ability to prioritize, and comfortable working independently.
  • Exceptional oral and written communication skills, including strong spelling, grammar, and punctuation.
  • Must be committed to providing outstanding client service and demonstrate strong interpersonal skills.
  • Strong attention to detail.
  • Proficient computer skills and ability to operate general office equipment.
  • Proficient with MS Office.

 

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 growing, highly engaged and collaborative team, where employees:
(i) reach their full potential,
(ii) consistently deliver high-quality client experiences; and
(iii) produce significant results.
As an essential business, Caldwell is practicing “physical distancing measures” related to COVID-19, with required staff working on premises.
 

To apply for this position, please send your covering letter and resume to careers@caldwellsecurities.com

 


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. Only those selected for an interview will be contacted.
No telephone inquiries please.

INVESTMENT ADVISOR – ADVISOR “U”

 

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.

 

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

 

Qualifications:

  • 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 careers@caldwellsecurities.com

 

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

No telephone inquiries please.