Investment / Securities Operations Analyst
About 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 Job
We 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 environment.

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 brokers

Manage clearing and settlement of domestic and cross-border transactions

Process and reconcile dividend and distribution payments

Submit and maintain tax election with CDS and DTC

Administer corporate actions including stock splits, mergers, spin-offs, and reorganizations

Manage physical securities, including certificate safekeeping, movements, and periodic counts

Open, amend, and close client accounts in accordance with regulatory and internal requirements

Settle client cash movements with the firm’s trustee

Process client payment requests via EFT, cheque, and wire

Execute internal and external account transfers (ins and outs)

Calculate, process,



and remit tax withholding

Support estate processing in coordination with trustees, CRA, and IRS

Prepare and submit required CRA and IRS tax filings related to account activity

Process mutual fund trades through Fundserv, including purchases, redemptions, and switches

Administer and monitor Letters of Intent (LOIs) with fund companies

Process GIC purchases, interest payments, and maturities

Reconcile daily, monthly, and annual activity across all desks

Support periodic control processes, including certificate counts and CIRO attestations

Investigate and resolve operational breaks, discrepancies, and exceptions

Maintain strong internal controls and documentation standards

Liaise with trading, finance, compliance, fund companies, custodians, and service providers

Assist with regulatory reviews, audits, and internal reporting

Identify opportunities for process improvement, automation, and control enhancement

Other duties, as required.

What do I need to succeed? Important Qualifications and Competencies:

University Degree related to business, accounting or finance

2-3 years previous experience at an CIRO member firm

Experience in the financial services industry

Knowledge of the rules and regulations governing the securities industry

Proficient in Microsoft Office (Word, Excel, Access) and Google Suite

Experience with Dataphile is an asset

Excellent analytical and investigative skills with strong attention to detail

Excellent verbal and written communication skills





Excellent interpersonal skills and the ability to present information to different audiences

Disciplined work ethic and committed to producing excellence in work output

Ability to work with minimum supervision

A robust commitment to customer service

Strong organization and time management skills

High ethical standards and integrity

Natural curiosity and drive to learn

Knowledge of various financial products including equities is an asset

Completion of the Canadian Securities Course (CSC) is an asset

What We Offer:

Competitive base pay in the range of $55,000 - $90,000, depending on qualifications

Incentive opportunity and group benefits

A progressive and high-performance team environment

Mentorship and coaching

Company sponsored specific industry accreditation / course work

Our 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.

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; and

Caldwell 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.

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📌 Investment / Securities Operations Analyst (Ontario)
🏢 Caldwell Securities
📍 Ontario