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Added 2 days ago
CS
Investment / Securities Operations Analyst
Caldwell Securities Ltd.
Toronto, ON
- Full-time
…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…
Added 3 days ago
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- Full-time
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Analyst III, Counterparty Credit Risk
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Security Operations Center Analyst
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Toronto, ON
- $80,000 to $105,000 CAD / year
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Analyst - Credit and Transaction Management (CTM)
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…job-related knowledge, geographic location, and other specific business and organizational…
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Analyst / Associate - Credit Transaction Management (CTM), Global Credit, Global Corporate Banking
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Analyst/Associate - Credit Transaction Management (CTM) - Non Bank Financial Institutions
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Intern Analyst, Actuary (January 2027 - August 2027)
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Minimum hard skill requirements (including computer and application proficiency):

Caldwell Securities Ltd.

Investment / Securities Operations Analyst

Toronto, ON, Canada

Competitive base pay in the range of $55,000 - $90,000, depending on qualifications · Full-time

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Job details

Pay: Competitive base pay in the range of $55,000 - $90,000, depending on qualifications
Job type: Full-time
Apply by: Apr 20, 2027
Experience: 2-3 years previous experience at an CIRO member firm
Posting language: English
Posted: Oct 22, 2026

Original job description

Investment / Securities Operations Analyst

About the Company:

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 Canadian Investment Regulatory Organization (“CIRO”) and runs its own self-clearing operations.

About the Job

We are seeking a Securities Operations Analyst to join our Operations group. This role provides exposure across three core operational desks - Settlement Operations, Account Management, and Mutual Fund Operations, supporting the full lifecycle of securities transactions, client accounts, and fund activity within a self-clearing environment.

The successful candidate will contribute to daily processing, reconciliations, regulatory compliance, and operational controls, while developing a strong understanding of how trading, custody, cash, taxation, and client servicing intersect.

What does the job do? Key Duties & Responsibilities:

Reconcile and settle securities trades across CDS, DTC, and other brokers
Manage clearing and settlement of domestic and cross-border transactions
Process and reconcile dividend and distribution payments
Submit and maintain tax election with CDS and DTC
Administer corporate actions including stock splits, mergers, spin-offs, and reorganizations
Manage physical securities, including certificate safekeeping, movements, and periodic counts
Open, amend, and close client accounts in accordance with regulatory and internal requirements
Settle client cash movements with the firm’s trustee
Process client payment requests via EFT, cheque, and wire
Execute internal and external account transfers (ins and outs)
Calculate, process, and remit tax withholding
Support estate processing in coordination with trustees, CRA, and IRS
Prepare and submit required CRA and IRS tax filings related to account activity
Process mutual fund trades through Fundserv, including purchases, redemptions, and switches
Administer and monitor Letters of Intent (LOIs) with fund companies
Process GIC purchases, interest payments, and maturities
Reconcile daily, monthly, and annual activity across all desks
Support periodic control processes, including certificate counts and CIRO attestations
Investigate and resolve operational breaks, discrepancies, and exceptions
Maintain strong internal controls and documentation standards
Liaise with trading, finance, compliance, fund companies, custodians, and service providers
Assist with regulatory reviews, audits, and internal reporting
Identify opportunities for process improvement, automation, and control enhancement
Other duties, as required.

What do I need to succeed? Important Qualifications and Competencies:

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) 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 in the range of $55,000 - $90,000, depending on qualifications
Incentive opportunity and group benefits
A progressive and high-performance team environment
Mentorship and coaching
Professional development
Company sponsored specific industry accreditation / course work

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.

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.

Caldwell Securities Ltd. does not use Artificial Intelligence (AI) to screen job applicants.

No telephone inquiries please.

Please submit your resume in PDF format.

Job Type: Full-time

Schedule:

Monday to Friday
Weekends as needed

Ability to commute/relocate:

Toronto, ON M5H 1J9

Work Location: In person

Apply About employer

More about this job

Responsibilities

Process and reconcile securities trades, client accounts, cash movements, mutual fund activity, corporate actions, and tax-related transactions across the firm’s self-clearing operations. Maintain operational controls and regulatory documentation, resolve discrepancies, support audits and reporting, and coordinate with internal teams and external service providers.

Requirements

A business-, accounting-, or finance-related university degree and 2–3 years of experience at a CIRO member firm are requested, along with financial services experience and knowledge of securities regulations. Candidates should have strong analytical, communication, organizational, and customer-service skills; Microsoft Office and Google Suite proficiency is required, while Dataphile, the Canadian Securities Course, and knowledge of financial products are assets.

Skills

Securities Settlement
Trade Reconciliation
Account Management
Mutual Fund Operations
Cash Movement Processing
Tax Withholding And Reporting
Regulatory Compliance
Internal Controls
Exception Investigation
Financial Reconciliation
Microsoft Office
Google Suite
Analytical And Investigative Skills
Client Service
Process Improvement

Benefits

Incentive Opportunity
Group Benefits
Mentorship And Coaching
Professional Development
Company-Sponsored Industry Accreditation And Coursework

Visa sponsorship

Not detected in the job text

Keywords

CDS
DTC
Fundserv
Dataphile
Microsoft Office
Excel
Access
Google Suite
Canadian Securities Course
CIRO
CRA
IRS
Securities Operations
Settlement Operations
Account Management
Mutual Fund Operations
Self-Clearing
Trade Settlement
Corporate Actions
Tax Elections
Tax Withholding
EFT
Wire Transfers
GICs
Letters Of Intent
Client Account Transfers
Reconciliation
Regulatory Compliance
Internal Controls
Audit Support

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