Associate, Financial Planning

Location :This posting is for an existing vacancy in Wellington-Altus’s Waterloo office.

Our organization : Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.

- Investment Executive 2025 Brokerage Report Card.

The opportunity : Reporting to the Sr. Wealth Advisor, the Associate, Financial Planning, supports the delivery of personalized financial planning and relationship management for a growing client base. This role complements the lead advisor by handling financial plans, engaging clients in meaningful conversations about their goals, and guiding them through investment and planning decisions.

The Associate, Financial Planning will build solid relationships, provide exceptional care, and develop expertise in advanced wealth planning over time. Will act as a resource person for clients and assist with task and transaction processing related to managing client accounts. The Associate plays a crucial role in providing investment advice, building client relationships, and ensuring compliance with relevant regulations set forth by CIRO.

Key responsibilities include : Financial Planning Support

- Preparing and maintaining financial plans for clients, starting with foundational plans and progressing to more complex strategies.




- Analyzing client asset mix and provide recommendations aligned with their financial goals.
- Interpreting portfolio data and contribute to client-ready materials.

Relationship Management

- Conducting client meetings to discuss financial plans, investment strategies, and life-stage considerations.
- Serving as a trusted resource for clients, offering guidance on evolving financial needs.
- Working closely with the lead advisor to complement existing and new relationships.
- Ensuring seamless communication and coordination within the team.

Business Development

- Proactively identify opportunities to grow the client base.
- Developing and maintaining a pipeline of prospective clients and follow up to convert leads into active relationships.
- Assisting in onboarding new clients and ensuring a smooth transition into the firm’s services.
- Supporting initiatives to deepen relationships and enhance client experience.
- Meeting with clients to understand their financial goals, risk tolerance, and investment preferences. Provide personalized investment advice and recommend suitable products and strategies to help clients achieve their objectives.

Client Administration and Operations

- Handling investment transactions, asset allocation and portfolio modeling.
- Maintaining and updating client files, CRM data, and account documentation with accuracy and confidentiality.
- Preparing reports, investment summaries,



and meeting materials for advisors.
- Handling scheduling, follow-ups, and general correspondence with professionalism.

Administrative and Operational Support

- Acting as a general administrative and operational resource for Associates and Advisors (ex: printing statements, tax slips).
- Completing a variety of administrative tasks related to account management such as preparing DocuSign information.
- Providing information, where requested and approved by an Advisor, on the status of a client’s account and provide account balances, quotes and other marketing information.
- Maintaining client files, ensuring that all documentation and notes are compliant with industry regulations.
- Performing general administrative tasks (ex: prepare letters, client communication pieces, etc.)
- Proactively stay informed and up to date regarding Company policies and procedures and compliance updates.
- A bachelor's degree in business administration, accounting, finance or related field, or equivalent work experience.
- 3-5 years’ financial services industry experience working in a high growth environment.
- 3+ years’ experience in a customer/client-service facing role.
- Equivalent combination of education and experience may be considered.
- Experience in wealth management or other regulated industry is a robust asset.
- CIRO licensed.
- Working towards Certified Financial Planner (CFP) designation asset.
- A commitment to fulfilling Continuing Education (CE) requirements.
- Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day to day work and long-term goals.
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📌 Associate, Financial Planning (Waterloo)
🏢 Wellington-Altus Private Wealth
📍 Waterloo