Administrative Assistant

About the Company

We are hiring a Senior Administrative Assistant to support a well-established and highly successful Investment Advisory practice.

About the Role

The Senior Administrative Assistant is responsible for managing the full spectrum of client account administration, transaction processing, account transfers, and regulatory documentation within this high-volume Investment Advisory practice. This is a key position and the operational backbone of the practice. The successful candidate will support complex client transactions and provide exceptional service to high-net-worth clients.

Responsibilities

• Client Account Administration
• Open new client accounts and maintain account documentation.
• Process account transfers, including incoming and outgoing assets.
• Manage client requests and account updates.
• Coordinate RESP withdrawals, RRIF payments, estate settlements, and other account transactions.
• Ensure all documentation is complete, accurate, and compliant.

• Trade and Transaction Processing
• Process client trade instructions accurately and efficiently.
• Handle cash withdrawals, deposits, transfers, and journal requests.
• Monitor transactions through completion and resolve any discrepancies.
• Liaise with internal operations teams and external financial institutions.

• Compliance and Regulatory Administration
• Maintain compliance documentation and client records.
• Review new account applications for completeness and regulatory requirements.
• Ensure adherence to CIRO and firm compliance standards.
• Prepare and submit regulatory and compliance-related paperwork.
• Support audits, reviews, and compliance inquiries.

• Client Service Excellence
• Act as a primary point of contact for clients.
• Respond to client inquiries regarding accounts, transactions, and documentation.
• Build strong, trusted relationships with clients through professional and proactive service.
• Handle sensitive and confidential client information with discretion.

• Office Operations Leadership
• Serve as the senior administrative resource within the practice.
• Identify opportunities to improve processes and efficiencies.
• Provide guidance and support to junior administrative staff as required.
• Ensure smooth day-to-day operations of the advisory practice.

Qualifications

• Canadian Securities Course (CSC) certification

Required Skills

• 7 or more years of experience supporting an Investment Advisor, Financial Advisor, Portfolio Manager, or Wealth Management team
• Extensive experience with account transfers, trade processing, RESP, TFSA, RESP, RRIF withdrawals, estate administration, compliance, and regulatory documentation
• Strong understanding of wealth management operations and investment industry regulations
• Exceptional attention to detail and organizational skills
• Experience with Salesforce or ADP is an asset

Preferred Skills

• Experience with Salesforce or ADP is an asset