Licensed Assistant
Stone Gable Investment | Ottawa, ON | Full-Time | In-Person
Company
Stone Gable Investment
Website
https://stonegablesinvestment.ca/
Apply
[email protected]
Compensation
Competitive compensation based on experience, licensing, and qualifications
About the Opportunity
This is a unique opportunity for someone starting as a licensed assistant, or a fully licensed registered representative who wants to grow over time toward an advisor role. Stone Gable Investment is looking for a motivated and detail-oriented Licensed Assistant to support an established wealth management practice in Ottawa, with practical exposure to client service, financial planning support, and portfolio administration.
Key Responsibilities
Client Service & Administration
· Work closely with clients by responding professionally and promptly, assisting with trades, withdrawals, deposits, transfers, and ensuring proper documentation
· Gather, verify, and update client financial information required for planning and account administration
· Maintain accurate client files, notes, documentation, and follow-up records
· Act as a primary client-service contact for administrative and trading-related needs when the advisor is away, within licensing, firm, and CIRO compliance requirements
Financial Planning Support
· Support the advisor with client financial plans, including gathering information, entering data, and preparing planning materials
· Help clients stay organized with documentation, next steps, and planning updates that support a strong client experience
Portfolio & Trading Support
· Assist with model portfolio implementation, rebalancing, and trade entry where appropriately licensed
· Support the advisor with research, performance review, and tracking of positions in portfolio models
· Monitor model portfolio changes and assist with consistent implementation across client accounts
· Stay current with applicable regulatory and compliance requirements
Team Contribution
· Build strong working relationships with team members and corporate head office
· Participate in team meetings and contribute ideas
· Maintain high standards of professionalism, accuracy, and client service
· Commit to ongoing professional development
· Support the advisor with reports, meeting materials, and client review preparation
· Assist with client communication, events, seminars, and marketing materials
· Recommend process improvements and ways to enhance the client experience
Qualifications
Required Qualifications
Preferred Qualifications
· Canadian Securities Course (CSC) completed or in progress
· Conduct and Practices Handbook Course (CPH) completed or in progress
· Eligible or actively working toward CIRO licensing requirements, including the proficiency needed for portfolio manager accreditation
· Post-secondary education in business, finance, economics, or a related field, or equivalent experience
· Client service experience with the ability to communicate professionally and confidently with clients
· Interest in developing into an advisor role over time
· Strong attention to detail and organizational skills
· Excellent written and verbal communication skills
· Ability to manage multiple priorities in a fast-paced environment
· Proficiency with Microsoft Office, Outlook, and Excel
· Experience in wealth management, financial services, banking, or investment administration
· Investment Representative Training completed or willingness to complete
· Knowledge of client account documentation, transfers, deposits, withdrawals, and model portfolios
Working Conditions
This is an in-person role based in Ottawa within a professional office environment. From time to time, client events or seminars may take place outside regular business hours. The successful candidate should be comfortable managing multiple priorities while maintaining a high level of accuracy, professionalism, and client service.
Career Development Opportunity
This role is well suited for someone who wants to build a long-term career in wealth management. The successful candidate will have the opportunity to develop technical knowledge, client service skills, planning experience, and confidence in client-facing conversations, with the potential to grow into an advisor role over time.
How to Apply
Please submit your resume and cover letter to [email protected].
We thank all applicants for their interest; however, only those selected for an interview will be contacted.
Pay: $50,000.00-$70,000.00 per year
Benefits:
- Dental care
- On-site parking
- Paid time off
Application question(s):
- Do you have Conduct and Practices Handbook Course (CPH) or in progress?
Licence/Certification:
- Do you have Canadian Securities Course or in progress? (required)
Work Location: In person
