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 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 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 strong 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-qu

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