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 prospect 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 Canadian Securities Course completed or in progress?
- Do you have Conduct and Practices Handbook Course (CPH) completed or in progress?

Work Location: In person

📌 Licensed Assistant (Canada)
🏢 Stone Gable Investment
📍 Canada