YL Capital is an independent asset manager built around a easy philosophy: research deeply, manage risk first, and invest with a long-term perspective .

We are a research-driven investment management firm focused on helping individual, family, and institutional investors build and preserve capital across market cycles. Our approach emphasizes disciplined decision-making, rigorous risk management, and long-term wealth creation rather than short-term market predictions.

YL Capital is registered in British Columbia as a Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer .

The Opportunity
We areseekingan experienced, entrepreneurial, and highly motivated Dealing Representative to join YL Capital’s Exempt Market Dealer division.

The successful candidate willbe responsible fordeveloping andmaintainingmeaningful relationships with qualified investors and introducing eligible clients toexempt-marketinvestment opportunities offered through the firm.

This is an entrepreneurial, performance-driven role for someone who is self-directed, commercially minded, and comfortable building a business through their professional network, referrals, prospecting, and strategic relationship development.

The Dealing Representative will manage and grow an investor portfolio while providing a high standard of client service andoperatingin accordance withapplicable securities laws, regulatory requirements, and YL Capital’s compliance policies and procedures.

The ideal candidate is sales-driven, self-motivated, dependable, and results-oriented, with a strong work ethic and a genuine passion for networking and relationship building.

Key Responsibilities
Investor Relationship Management

Build, develop, andmaintainlong-term relationships with prospective and existing investors.

Manage an established client portfolio while activelyidentifyingopportunities for sustainable growth.

Maintain regular and meaningful communication with clients and prospectsregardingrelevant market developments and investment opportunities.

Deliver professional presentations and educational discussionsregardingYL Capital and its available investment products.

Business Development and Growth

Develop and execute a personal business development and sales strategy to meet or exceed annual fundraising and business developmentobjectives.

Build andmaintaina strong pipeline of prospective investors through networking, referrals, professional relationships, seminars, events, and other approved business development activities.

Expand YL Capital’s investor base while strengthening relationships with existing clients.





Organize andparticipatein investor events, presentations, meetings, telephone outreach, and other approved marketing initiatives.

Maintainaccurateandtimelyrecords of client interactions, prospecting activities, and sales opportunities within the firm’s CRM and other approved systems.

Client Onboarding and Investment Process

Develop andmaintaina thorough understanding of YL Capital’s investment products, including their structure,objectives, features, risks, fees, and applicable offering documents.

Guideeligible investors through the firm’s client onboarding and investment subscription process.

Gather andmaintainthe informationrequiredto understand each client’s financial circumstances, investmentobjectives, risk profile, investment knowledge, and other relevant informationin accordance withapplicable regulatory requirements and firm policies.

Work with clients and internal teams to ensure subscription documentation is complete,accurate, and submittedin a timely manner.

Communicate investment opportunities clearly and professionally while ensuring clients receiveappropriate informationregardingrelevant risks and considerations.

Compliance and Professional Standards

Conduct all activitiesin accordance withapplicable Canadian securities laws, regulatory requirements, and YL Capital’s policies and procedures.

Follow all applicable firm procedures relating to client onboarding, product knowledge, know-your-client requirements, conflicts of interest, suitability, and documentation.

Maintain the knowledge andproficiencynecessary to competently perform the responsibilities of a registered Dealing Representative.

Participate in required compliance training and maintain all applicable registrations and regulatory requirements.

Maintain the highest standards of integrity, professionalism, confidentiality, and client service.

Qualifications
Required

A strong entrepreneurial mindset with the ability to independently build and manage a client base through professional networks, prospecting, referrals, seminars, and other relationship-building activities.

A minimum of two years of relevant experience in sales, business development, financial services, investment management,



ora relatedindustry.

Demonstrated success in business development, relationship management, and client acquisition.

Strong interpersonal, communication, networking, and presentation skills.

Highly self-motivated, dependable, results-oriented, and accountable for achieving established targets.

Fluency in English;proficiencyin another language is considered an asset.

Eligibility to meet the applicableproficiencyand registration requirements for a Dealing Representative of an Exempt Market Dealer in Canada.

Successful completion of the Canadian Securities Course (CSC) or Exempt Market Products Exam , or another applicable regulatoryproficiencypathway, subject to the firm’s registration requirements and applicable regulatory approval.

Preferred

An established network of centresof influence (COIs), high-net-worth individuals, accredited investors, or other relevant professional relationships , and/or an established client base, would be considered a strong asset.

Experience working with exempt-market products, private investments, alternative investments, investment funds, or capital raising.

Familiarity with Canadian securities regulations and the regulatory framework applicable to Exempt Market Dealers.

A degree or diploma in finance, business, sales, economics, ora relateddiscipline.

Professional designations such as CFA, CAIA, CIM, or FRM are considered assets.

Compensation
This is a commission-based position with no base salary . Compensation will be based on business generated and structuredin accordance withthe firm’s compensation policies and applicable regulatory requirements.

Why Join YL Capital?
This is an opportunity for an entrepreneurial investment professional to build a long-term career with an independent, research-driven investment management firm.

The successful candidate will have the opportunity to:

Develop meaningful, long-term relationships with sophisticated investors.

Contribute directly to the growth of the firm.

Build and expandan entrepreneurialinvestment practice.

Work with a research-driven investment management platform focused on disciplined decision-making and long-term wealth creation.

Participate in building long-term value for clients and the firm.

If you are an entrepreneurial, relationship-driven investment professional looking to build and grow your business in the exempt market, we would like to hear from you.

All inquiries and applications will be kept confidential. Only candidates selected for an interview will be contacted.

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📌 Dealing Representative (British Columbia)
🏢 YL Capital
📍 British Columbia