Wealth Associate Advisor

As Wealth Associate Advisor with a growing Regina financial advisory firm, you will work closely with the Senior Advisor Team to support and enrich new and existing Client Relationships. This role is ideal if you are a developing Advisor building technical knowledge, client-facing confidence, and where applicable, required licensing/credentials.

Join a welcoming client-centered team culture! Make this your next ‘one-time career move’ – apply in confidence today!

As Associate Advisor, you will contribute to advice delivery by preparing and supporting investment and financial planning recommendations, coordinating implementation, and providing proactive client service. This role also supports practice growth through business development activities and helps ensure documentation, suitability, and regulatory requirements are met.

As a key member of the Advisory Team, you will:

1. Client Service & Relationship Support

• Provide proactive client service with strong follow-through and attention to detail. Actively listen and understand the unique needs of each Individual and Client.
• Respond to client account and service inquiries; coordinate next steps and update the advisory team on a timely basis.
• Maintain a strong understanding of client goals, risk profile, time horizon, and the investment strategy being recommended.
• Ensure all client interactions, advice discussions, and follow-ups are documented accurately and on time.
• Coordinate and support meetings (reviews, onboarding, planning meetings) for clients and prospects.
• Prepare meeting materials (agendas, portfolios, planning outputs), participate as needed, and execute timely post-meeting follow-up and implementation tasks.

2. Documentation & Operations

• Prepare and process client documentation (onboarding, account changes, transfers, service requests) with accuracy and professionalism.
• Liaise with custodians, product partners and internal teams to coordinate and resolve operational issues.
• Support consistent workflows and quality control to ensure administrative processes are efficient and compliant.
• Proactively recommend improvements to the client experience, workflows, and team processes.

3. Team Collaboration & Culture

• Contribute to a culture of open, professional communication and strong client-first standards.
• Actively participate in team meetings; communicate priorities, risks, and client needs.
• Encourage new ideas and approaches that improve advice delivery and client experience.
• Share knowledge and contribute to the development of the team
• Bring new ideas and a sense of ownership by working in the best interest of the company, delivering an extraordinary Client experience and contributing to a work culture of honesty, integrity and accountability.

4. Business Development & Growth

• Use product knowledge and services to identify planning and investment opportunities within the existing client base.
• Support asset consolidation, referral conversations, and next-step opportunities by preparing options and coordinating follow-up.
• Co-manage the client acquisition pipeline (prospects/leads): track activity, prepare proposals, and support the advisory team in closing new opportunities.
• Support conventional and digital marketing initiatives (events, seminars, client communications) including drafting, compliance approval, and implementation.

5. Planning, Analysis & Recommendations

• Help build and implement client service plans, including ongoing planning and review cycles.
• Prepare, analyze, and help present planning outputs, portfolio reviews, and recommendation summaries.
• Assist the advisor with drafting investment and financial plans and coordinating implementation activities.

6. Compliance & Risk Management

• Adhere to regulatory policies and firm standards and stay up to date with applicable rules and policies.

As the selected applicant, you will bring:

Education:

• Post-secondary education in business, accounting, or finance in addition.
• Preferred licenses:

1. CIRO – Canadian Investment Regulatory Exam and Retail Securities Exam is preferred
2. LLQP – Life Licensing Qualification Program
3. CFP – Certified Financial Planner
4. CIM – Chartered Investment Manager

Experience:

• Some relevant industry and/or life experience in the financial services industry is preferred, i.e. TFSA and RRSP to build knowledge on.

Computer:

Working knowledge of MS office and SharePoint; CRM - client management; dealer platforms for trading , client account management etc

Desired attributes:

• Motivated and enthusiastic leader, with an entrepreneurial spirit and passion to increase your skills and career in financial planning. Brings a genuine interest and drive to help Clients reach their financial and life goals.
• Excellent relationship building skills, client service and strong verbal and written communication skills.
• Participates fully as a member of the team, and supports a positive, service-oriented work environment.
• Reliable, accountable and professional, supported by integrity and a strong work ethic. Committed to deal with people sensitively, tactfully, diplomatically and professionally at all times.
• Proven skills in business development and attracting new clients

Competitive base salary, bonus and benefits including training/education, free parking and a collaborative, collegial work environment! Explore this exciting opportunity for career growth and success!