Investment Advisor Assistant, Victoria

COMPANY OVERVIEW Ventum Financial Corp. is an independent, Canadian-owned investment firm managing more than $8 billion in assets with nearly 400 employees across 13 offices nationwide. Founded on trust, experience and ambition, Ventum prioritizes excellence in client service.

Our Private Client Services division comprises over 120 Investment Advisors, Portfolio Managers and Commodities Futures Advisors who deliver tailored wealth strategies. Serving more than 75,000 clients globally, we offer portfolio management, investment advisory, access to new issues, commodities futures and venture financing. Through our affiliate, Ventum Insurance Services Corp., we also provide estate and insurance planning for comprehensive wealth management.

Ventum’s Capital Markets division ranks among Canada’s top teams, providing mid-market corporate clients with investment banking, advisory, mergers and acquisitions, research and institutional sales services. As a full-service independent investment bank, we combine sector expertise and proven execution to offer clarity and confidence in complex markets.

Ventum is a member of the Canadian Investment Regulatory Organization (CIRO) and all major Canadian stock exchanges.

POSITION OVERVIEW Ventum Financial Corp. is currently looking for Investment Advisor Assistants to join our Private Client Services team in our various office locations mentioned above. This role will support a team of Investment Advisors/Portfolio Managers in establishing and maintaining strong client relationships, and perform required administrative tasks related to marketing, client service and relationship management.

Key Responsibilities

Actively build strong working relationships across all levels within and outside the branch by maintaining a working knowledge of the business environment, keeping the investment advisor informed, responding to business needs, and providing practical solutions

Liaison with Back Office Operations/ Retail Equity Trading/ Compliance Enter Equity trades in Dataphile trading platform

Maintain Quote Watch list of current positions/ Major Indices

Morning Portfolio sheets prepared daily (Dataphile)

Morning Trade reconciliation (check for shorts/commission/trade allocation errors)

Cash reconciliation (Tbils/MMfund)

Prepare day’s end holdings report for all positions traded

Trade updates

Re-Org (monitor Re-org notices pertaining to positions held)

Review, administer and follow-up on all Compliance related queries

Review, administer and follow-up on credits and debits

Provide excellent client service to all inquiries, including quotes and client account related inquiries

Address any compliance/suitability issues on Portfolio AID

Help build marketing material

Implement and administer a CRM and gather pertinent client data to build maintain the database

Tax and Banking/CRA Document Management

Requirements

At least 3 years of experience working within regulated financial services industry as Admin/Sales Assistant to Investment Advisors

CIRO Licensed (IR or RR) mandatory and licensed with Options strongly preferred

Ability to work quick and under strict deadlines

Strong planning, organizational and time management skills with the ability to prioritize tasks efficiently

Exceptional interpersonal skills when interacting with clients and internal colleagues, including senior management and senior financial professionals (Investment Advisor(s) and Portfolio Manager(s))

Understands the importance of Compliance with established operating procedures and protocols

Trade execution experienceKnowledge of industry regulatory rules, relevant legislation and requirements and keeping up with systems and regulatory changes

Proactive, confident, and professional approach to problem-solving, at times with minimal supervision

Detail oriented with advanced knowledge of administrative functions and procedures

Takes ownership of tasks and consistently shows initiative in finding solutions.

Excellent oral and written communication skills

Qualifications

Strong oral and written English communication skills

At least 3 years of Sales Administration experience in the investment industry is a must

5+ years of experience within a sales and/or brokerage industry environment is a strong asset

Canadian Securities Course (current)

Conduct&Practices Handbook (current)

Advanced skills in Microsoft Office (Excel, PowerPoint and Word)

Requires exceptional discretion and confidentiality in handling sensitive information

Acts as a positive team-player– trustworthy, capable, and reliable.

Ventum is committed to fostering an inclusive, accessible environment where all employees and customers feel valued, respected, and supported. If you are invited to interview and require accommodation (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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