Investment Processing Manager

JOB TITLE:  Investment Processing Manager

BRANCH NAME:  Assante Financial Management Ltd. 

BRANCH LOCATION:  Alexandria Wealth Management Branch, 909 11^th Ave SW Calgary

POSTING DATE:  May 27^th, 2025

APPLICATION DEADLINE:  Until Filled

HOURS PER WEEK:  37.5

CONTACT:  mondial@assante.com

JOB DESCRIPTION:

We are seeking a dedicated and detail-oriented professional to join our team as an Investment Processing Manager focused on Client Service & Investment Support.  We are a small team-based practice that operates in one of Assante’s few mega-branches in the Calgary Beltline district.

50% of our clients live internationally and have sand in their shoes, making for a diverse clientele to interact with.  We pride ourselves on being thorough and innovative.  We value financial literacy and strive to ensure our clients are well informed and have opportunities to increase their knowledge about their investments. 

The primary focus of the Investment Processing Manager is to effectively facilitate the processing of mutual fund trades and provide comprehensive administrative support to ensure all tasks are processed accurately, compliantly, and in a timely manner, thereby maintaining service levels for advisors.

EXPERIENCE AND QUALIFICATIONS:

• Grade 12 (required). University degree / College diploma (preferred).
• IFC (required), CSC Certification (preferred).
• Administrative experience: 1 year (required).
• Dealer Investment Industry: 2 years (required).
• Experience working in a team-based service model.
• Excel Proficiency: Intermediate skills in Excel, including pivot tables, charts, and formulas.
• Attention to Detail: Able to monitor and track status of trades, client enquiries and maintain various financial planning trackers.  Emphasis on quality.
• Problem-Solving: Ability to resolve issues, questions, and complaints effectively.
• Document Management: Collect and organize information and documents for efficient electronic filing, maintain electronic filing systems.
• Ethical: Understanding of regulatory, legal, and ethical requirements including ‘Know your Client’, ‘Know your Product’.
• Prioritization: Ability to work within a high-pressure environment and prioritize tasks.

DUTIES AND RESPONSIBILITIES:

• Trade Facilitation: Efficiently prepare and process investment paperwork and order entries.
• Assume ownership of assigned files and quality of data, including recognizing any urgencies and assisting in resolving problems that may prevent a file from moving through the process as quickly as possible.
• Advisor Support: Follow up promptly with advisors on missing information, supporting documentation, information discrepancies, and unclear instructions.  Manage calendars, schedule appointments.
• Customer Service: Experience in client care and support, ensuring high standards of service and use of CRM (Customer Relationship Management) software eg: Salesforce.

ADDITIONAL NOTES:

This is an in-person role, with limited opportunities for remote work. There may be some flexibility in start and end times, provided the employee is present in the office during the core business hours of 9:00 AM to 3:00 PM.

The position is available to begin as soon as a suitable candidate is identified. It is a full-time role or a minimum 9-month contract.

Mondial Financial, an independently owned and operated team at Assante Financial Management Ltd. welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the recruitment process. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

Please apply with your current resume and a cover letter to:

mondial@assante.com

We thank all applicants but only those selected for an interview will be contacted.