We are hiring a Senior Administrative Assistant to support a well-established and highly successful Investment Advisory practice.

The Senior Administrative Assistant is responsible for managing the full spectrum of client account administration, transaction processing, account transfers, and regulatory documentation within this high-volume Investment Advisory practice.

This is a key position, the operational backbone of the practice and requires extensive experience supporting Investment Advisors, managing client accounts, processing investment transactions, and ensuring regulatory compliance.

The successful candidate will be a seasoned financial services professional who can operate independently, oversee complex client transactions, and provide exceptional service to high-net-worth clients.

Responsibilities

Client Account Administration
Open current client accounts and maintain account documentation
Process account transfers, including incoming and outgoing assets
Manage client requests and account updates
Coordinate RESP withdrawals, RRIF payments, estate settlements, and other account transactions
Ensure all documentation is complete, accurate, and compliant

Trade & Transaction Processing
Process client trade instructions accurately and efficiently




Handle cash withdrawals, deposits, transfers, and journal requests
Monitor transactions through completion and resolve any discrepancies
Liaise with internal operations teams and external financial institutions

Compliance & Regulatory Administration
Maintain compliance documentation and client records
Review new account applications for completeness and regulatory requirements
Ensure adherence to CIRO and firm compliance standards
Prepare and submit regulatory and compliance-related paperwork
Support audits, reviews, and compliance inquiries

Client Service Excellence
Act as a primary point of contact for clients
Respond to client inquiries regarding accounts, transactions, and documentation
Build strong, trusted relationships with clients through qualified and proactive service
Handle sensitive and confidential client information with discretion

Office Operations Leadership
Serve as the senior administrative resource within the practice
Identify prospects to improve processes and efficiencies
Provide guidance and support to junior administrative staff as required
Ensure smooth day-to-day operations of the advisory practice

📌 Administrative Assistant Waterloo
🏢 Robert Half
📍 Waterloo