COMPANY OVERVIEW
Ventum Financial is one of Canada’s largest independent investment dealers with approximately 400 employees nationwide and approximately $10 billion in assets under administration. Known for its entrepreneurial spirit and client-first approach, Ventum Financial provides expertise across multiple sectors. For institutional clients Ventum provides expertise across a variety of sectors delivering a range of research, investment banking, advisory, and sales & trading services. For private clients, Ventum offers a comprehensive advisory and wealth management platform for its Investment Advisors and Portfolio Managers who provide customized advice to their clientsand access to the full spectrum of securities products and services.
PURPOSE STATEMENT
- The Senior Client Onboarding & Account Services Associate is a senior operational resource responsible for complex client onboarding and account servicing, Mako testing and support, Advisor transition support, operational quality, performance reporting and operational escalation management.
- The Senior Associate serves as a subject matter expert and primary escalation resource for the function, providing guidance on complex or non-standard operational matters and coordinating resolution across Operations, Compliance, Technology and other internal stakeholders.
- The Senior Associate also represents Client Onboarding & Account Services as an operational subject matter expert on transformation initiatives, including MAKO. The role participates in business requirements and workflow-design discussions with internal stakeholders and external implementation partners, including KPMG, helping translate operational requirements into practical future-state workflows.
- The role supports the transformation lifecycle from requirements gathering and validation through User Acceptance Testing, documentation, training, implementation and post-launch stabilization.
SPECIFIC ACCOUNTABILITIES
Client Onboarding , Complex Account Services & Reporting
- Manage client onboarding, account maintenance and servicing activities, including complex and non-standard requests.
- Provide operational expertise relating to client account setup, maintenance and servicing requirements.
- Support account servicing activities including EFT setup , KYC update and maintenance, account restrictions, client documentation, estates and other account changes.
- Review account information and requests for operational completeness, accuracy and consistency.
- Build effective working relationships with new Advisors and their teams throughout onboarding and transition.
- Investigate and coordinate resolution of complex transition-related issues and operational bottlenecks.
- Serve as a senior operational resource for Advisors and Associates regarding client onboarding and account servicing.
- Own the ongoing tracking, maintenance and reporting of key performance indicators for Client Onboarding & Account Services.
- Identify recurring trends and recommend corrective actions or process improvements.
Operational Escalation & Issue Management
- Serve as a primary operational escalation resource within Client Onboarding & Account Services for complex, urgent or unresolved servicing matters.
- Assist in assess escalated issues to determine business impact, urgency, ownership and appropriate next steps.
- Provide guidance to team members on issue resolution and appropriate escalation pathways.
- Support measurement of MAKO implementation and post-launch performance.
Operational Quality & Data Integrity in Mako
- Support first-line operational quality across client onboarding and account servicing.
- Identify processing errors, recurring issues, data-quality concerns and potential control gaps.
MAKO Business Requirements, User Acceptance Testing & Future-State Design
- Act as an operational subject matter expert for Client Onboarding & Account Services throughout MAKO implementation.
- Participate in business requirements and requirements-validation meetings with KPMG, internal project stakeholders and business partners.
- Represent current-state client onboarding, account servicing and Advisor support requirements during requirements discussions.
- Support documentation and validation of current-state workflows, business rules, operational dependencies and exception scenarios.
- Identify gaps between business requirements, current-state processes and proposed future-state functionality.
- Identify operational exceptions, dependencies and scenarios that should be considered during solution design.
- Collaborate with Operations, Compliance, Technology, project resources and KPMG to clarify requirements and resolve workflow questions.
- Identify and escalate operational risks associated with proposed system or process changes.
- Help ensure agreed operational requirements are reflected in future-state workflows and subsequent testing scenarios.
- Execute User Acceptance Testing across applicable client onboarding and account-servicing workflows.
- Validate that MAKO functionality meets documented operational requirements and intended business outcomes.
- Test standard workflows as well as complex scenarios, exceptions and operational dependencies.
- Identify, document and communicate defects, workflow gaps and unintended operational impacts.
- Participate in defect review and retesting.
- Validate corrected functionality following remediation.
- Support end-to-end workflow testing across impacted functions.
- Provide operational input into implementation readiness.
- Support go-live activities and post-launch stabilization.
- Identify post-implementation issues and contribute to ongoing process and system improvements.
Documentation, Training & Knowledge Transfer
- Develop and maintain Standard Operating Procedures, process documentation, user guides and job aids.
- Translate future-state workflows into practical procedures for operational users.
- Support development of training materials for new processes, systems and workflow changes.
- Participate in training and knowledge-transfer activities.
- Support team readiness for MAKO and other operational changes.
- Support onboarding and cross-training of Client Onboarding & Account Services employees.
Education & Experience
- Post-secondary education in business, finance or a related discipline preferred, or an equivalent combination of education and relevant experience.
- Experience within wealth management, brokerage operations or financial services preferred.
- Knowledge of client account opening, maintenance and servicing processes.
- Experience supporting Advisors, Associates or internal business partners in an operational environment.
- Experience with Dataphile or comparable wealth-management platforms considered an asset.
- Experience with workflow, document-management or digital onboarding platforms considered an asset.
- Experience with system testing, process documentation or training considered an asset.
- Experience participating in business requirements, process-design, system implementation or transformation initiatives considered an asset.
- Experience with User Acceptance Testing, workflow validation, process documentation or training considered an asset.
- Experience with operational reporting, KPIs or service-level measurement considered an asset.
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.
