Securities / Investment 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 Investment Industry Regulatory Organization of Canada (“IIROC”) and runs its own self-clearing operations.

About the Job:

We are searching for Securities / Investment Operations Analyst to join our operations team. This job includes the physical handling of securities, as well as ensuring that the settlement of all securities trades are completed on the settlement date. Moreover, the job reconciles trading and corporate actions including stock splits, spinoff mergers, and dividends. Additionally, you will assist with client account openings and client account maintenance.

Key Responsibilities:

• Corporate Actions (e.g., stock splits, spinoffs, mergers)
• Calculating and submitting withholding tax information to DTC and other Brokers for US dividends
• Knowledge and processing of Registered Accounts (RRSP, LIF, RIF, LIRA, RESP).
• New Issues, maintaining documentation and communicating accordingly, to ensure settlement
• Client account opening and maintenance
• Reconcile and maintain Investment Advisor Mutual Fund Information
• Settling CDS trades, DTC trades, Broker Trades, Physical Trades and Donations
• Safekeeping and segregation of securities in the firm's control. These securities may belong to the firm itself or its clients
• Security deposits/withdrawals/DWAC/DRS/transfers on CDS/DTC
• Paying out appropriate dividends to clients’ accounts on a daily basis
• Reconcile all firm trading and balance broker accounts
• Internal/external transfers

Position Requirements:

• A strong commitment to customer service
• Excellent ability to multitask from one job to another
• High ethical standards and integrity
• University Degree related to business, accounting or finance
• Disciplined work ethic and committed to producing excellence in work output
• Knowledge of the rules and regulations governing the securities industry
• Experience in the financial services industry
• Experience with Datafile is an asset
• Knowledge of various financial products including equities is an asset
• Experience with process efficiencies and automations
• Knowledge of registered products (RRSP, RRIF, LIF, LIRA, RESP)
• Excellent analytical and investigative skills with strong attention to detail
• Completion of the Canadian Securities Course (CSC) is an asset
• 2-3 years previous experience at an IIROC member firm
• Strong organization and time management skills
• Excellent verbal and written communication skills
• Ability to work with minimum supervision
• Excellent interpersonal skills and the ability to present information to different audiences
• Proficient in Microsoft Office (Word, Excel, Access) with a focus on advanced excel skills and Google Suite
• Natural curiosity and drive to learn

What We Offer:

• A progressive and high-performance team environment
• A comprehensive total rewards program
• Competitive base pay, incentive opportunity and group benefits

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.

As an essential business, Caldwell is practicing “physical distancing measures” and PPE related to COVID-19, with required staff working on premises.

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; however, only those selected for an interview will be contacted.

No telephone inquiries please.