Investment / Securities Operations AnalystAbout the Company:Caldwell Securities Ltd. (“Caldwell”) is a majority employee-owned investment dealer that has been providing sophisticated and experienced investment and wealth management advice to individuals and corporations since 1981. Caldwell’s primary business includes investment management services, mutual fund sales, and retail and institutional sales. Caldwell is a member of the Canadian Investment Regulatory Organization (“CIRO”) and runs its own self-clearing operations.About the JobWe are seeking a Securities Operations Analyst to join our Operations group. This role provides exposure across three core operational desks — Settlement Operations, Account Management, and Mutual Fund Operations, supporting the full lifecycle of securities transactions, client accounts, and fund activity within a self-clearing setting.The successful candidate will contribute to daily processing, reconciliations, regulatory compliance, and operational controls, while developing a strong understanding of how trading, custody, cash, taxation, and client servicing intersect.What does the job do? Key Duties & Responsibilities:Reconcile and settle securities trades across CDS, DTC, and other brokersManage clearing and settlement of domestic and cross-border transactionsProcess and reconcile dividend and distribution paymentsSubmit and maintain tax election with CDS and DTCAdminister corporate actions including stock splits, mergers, spin-offs, and reorganizationsManage physical securities, including certificate safekeeping, movements, and periodic countsOpen, amend, and close client accounts in accordance with regulatory and internal requirementsSettle client cash movements with the firm’s trusteeProcess client payment requests via EFT, cheque, and wireExecute internal and external account transfers (ins and outs)Calculate, process,



and remit tax withholdingSupport estate processing in coordination with trustees, CRA, and IRSPrepare and submit required CRA and IRS tax filings related to account activityProcess mutual fund trades through Fundserv, including purchases, redemptions, and switchesAdminister and monitor Letters of Intent (LOIs) with fund companiesProcess GIC purchases, interest payments and maturitiesReconcile daily, monthly, and annual activity across all desksSupport periodic control processes, including certificate counts and CIRO attestationsInvestigate and resolve operational breaks, discrepancies, and exceptionsMaintain strong internal controls and documentation standardsLiaise with trading, finance, compliance, fund companies, custodians and service providersAssist with regulatory reviews, audits, and internal reportingIdentify opportunities for process improvement, automation, and control enhancementOther duties, as required.What do I need to succeed? Important Qualifications and Competencies:University Degree related to business, accounting or finance2-3 years previous experience at an CIRO member firmExperience in the financial services industryKnowledge of the rules and regulations governing the securities industryProficient in Microsoft Office (Word, Excel, Access)



and Google SuiteExperience with Dataphile is an assetExcellent analytical and investigative skills with strong attention to detailExcellent verbal and written communication skillsExcellent interpersonal skills and the ability to present information to different audiencesDisciplined work ethic and committed to producing excellence in work outputAbility to work with minimum supervisionA strong commitment to customer serviceStrong organization and time management skillsHigh ethical standards and integrityNatural curiosity and drive to learnKnowledge of various financial products including equities is an assetCompletion of the Canadian Securities Course (CSC) is an assetWhat We Offer:Competitive base pay in the range of $55,000 - $90,000, depending on qualificationsIncentive opportunity and group benefitsA progressive and high-performance team environmentMentorship and coachingCompany sponsored specific industry accreditation / course workOur Workplace:We regard our employees as our most valuable asset and strive to create positive workplace culture and an environment that is fair, equitable, respectful and supportive. We encourage you to submit your application online for an opportunity to become part of our team.Join Caldwell and be part of a highly engaged and collaborative team, where employees:(i) can reach their full potential,(ii) consistently deliver high-quality client experiences; andCaldwell is an equal opportunity employer.Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. We are dedicated to removing barriers in the recruitment and selection processes. We encourage members of equity seeking groups, including people with disabilities, to apply. Should you require accommodation, we will take into account your accessibility requirements. If we call you for an interview or any selection process, please notify us about your accommodation needs.We thank all applicants. Only those selected for an interview will be contacted.Caldwell Securities Ltd. does not use Artificial Intelligence (AI) to screen job applicants.#J-18808-Ljbffr

📌 Investment / Securities Operations Analyst - C$55,000 - C$90,000 A Year (Winnipeg)
🏢 Caldwell Securities
📍 Winnipeg