Investment Adviser Compliance (Toronto)

Investment Adviser Compliance (Toronto)

06 Aug
|
Ventum Financial
|
Toronto

06 Aug

Ventum Financial

Toronto

is an independent, Canadian-owned investment firm managing more than $8 billion in assets with nearly 400 employees across 13 offices nationwide.

Our Private Client

Services division comprises over 120 Investment Advisors, Portfolio Managers and Commodities Futures Advisors who deliver tailored wealth strategies. Serving more than 75,000 clients globally, we offer portfolio management, investment advisory, access to recent issues, commodities futures and venture financing. Ventum’s Capital Markets division ranks among Canada’s top teams, providing mid-market corporate clients with investment banking, advisory, mergers and acquisitions, research and institutional sales services.

As a full-service independent investment bank, we combine sector expertise and proven execution to offer clarity and confidence in complex markets.

Ventum is a member of the Canadian Investment Regulatory Organization (CIRO) and all major Canadian stock exchanges.

is currently looking for Investment Advisors to join our Private Client Services team in our various office locations mentioned above. Our national platform provides an opportunity to build your business with an independent Canadian company that truly values Partnership. Build and develop your client base as you manage and grow their portfolios, selecting the most appropriate investment solutions to meet their financial plans and goals

Build trusted and diverse relationships with business owners, individuals, families,



professional associations and foundations, based on personalized client services and advice

Any other administrative duties as required

5 years of Investment Advisory experience within a CIRO regulated environment

Outstanding relationship-building and interpersonal skills

Ethical, trustworthy and fully committed to supporting business objectives while ensuring all regulatory and compliance controls are maintained at all times The flexibility to be your own boss while working within a national platform

Operational support for a variety of advisor practice styles, from transactional and deal-oriented to managed account and fee for service

Planning and development tools to help you grow your business with one-on-one coaching by local branch leaders to help you assess your business, develop an individual plan and partner in implementation

Virtually unlimited investment solutions backed by top-ranked research

Unlimited earning potential and a competitive benefits package

Strong corporate structure with established Marketing, Technology, Compliance and Operations teams

Ventum is committed to fostering an inclusive, accessible environment where all employees and customers feel valued, respected, and supported. If you are invited to interview and require accommodation (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs. #

📌 Investment Adviser Compliance (Toronto)
🏢 Ventum Financial
📍 Toronto

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