Sr Operations Analyst

Company Overview

PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian High Net Worth families entrust PWL to manage their investment portfolios on a discretionary basis and provide holistic financial advice for all facets of their lives.

Financial Planning, Tax and Estate services are delivered via PWL Conseil, and investment management is delivered via PWL Capital which is a Broker Dealer and IIROC member firm. Both PWL Conseil and PWL Capital are wholly owned subsidiaries of PWL Wealth Management, with more than 90 employees.

Position Summary

PWL Capital is one of the fastest growing wealth management firms in Canada, and we need your help to stay on top of the growth. This is an excellent opportunity for a dynamic person to bring their knowledge and analytical skills to the table.

Must have 5+ years of experience in the securities industry, in a support function, middle or back office, and love to get stuff done, you will love our fun and fast paced environment. Strong organizational and analytical skills. Clear and effective communicator. Curious, takes initiative to learn and is self-motivated.

Primary responsibilities include

Securities Dealer Operations

• Review, analysis and approval of client account openings, updates and material changes;
• Audit and verification of transaction processed into the book of record and complete monthly reconciliations;
• Tracking documentation and ensure reception within prescribed deadlines;
• Middle office support, as required, between PWL Advisor teams and NBIN, PWL’s carrying broker;
• Ensuring timely responses to Advisor team inquiries and requests including follow-ups with NBIN;
• Support advisor teams in client centric processes
• Ensure data integrity in our Portfolio Management System, search, analyze and correct;
• Adjust cost/book value of client positions, as requested by Advisor teams, in both Purefacts and OSS, and correctly document all modifications as per regulatory requirements;
• Allocate COD trades to client accounts via NBIN;
• Assist with the production and mailing of client communications;
  • Assist in preparing some high-level reporting and KPIs;
  • Document current and future state of operations processes and identify opportunities to optimize
  • Comfortable working with data;
  • Act as SME for operational platforms and processes;

All other related tasks as assigned.

Desired Credentials

• 5 years of pertinent experience in the securities industry within an IIROC or ICPM firm;
• University degree in Commerce (B. Comm) or in Business Administration (B.BA) with concentration in Finance or equivalent.
• Experience with NBIN custodial services, processes and platforms considered an asset
• Knowledge of the client onboarding process considered an asset
• Canadian Securities Course & Conduct and Practices Handbook considered an asset;
• Knowledge of portfolio management systems (Croesus, Purefacts, D1G1t, etc);
• Office 365 experience with advanced excel skills ‎ (v-lookup, pivot tables etc.)
• Perfectly bilingual English and French, oral and written

Ideal Candidate Profile

• Open and collaborative, excellent Team Player;
• Strong organizational and analytical skills;
• Clear and effective communicator;
• Client service oriented;
• Curious, takes initiative to learn and is self-motivated;
• Knowledgeable person with very high integrity;
• Enjoys working in an entrepreneurial environment;
• Enjoys variety in their nature of their work;
• Adaptable to the small company environment /changing environment

How to Apply

We are a rapidly growing firm with a diverse group of clients – there is never a dull moment. We are thought leaders in the financial services industry, and we have been putting our client interests first for over twenty years.

Please apply with your cover letter and CV detailing why you feel you are the right fit for this role. Please fill out the form below to complete your application.

We will contact you if you are accepted for a candidate interview. Thank you for your interest in this position.