Investment / Securities Operations Analyst 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. 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 robust understanding of how trading, custody, cash, taxation, and client servicing intersect. Manage clearing and settlement of domestic and cross-border transactions Submit and maintain tax election with CDS and DTC Administer corporate actions including stock splits, mergers, spin-offs, and reorganizations Open, amend, and close client accounts in accordance with regulatory and internal requirements Process client payment requests via EFT, cheque, and wire Execute internal and external account transfers (ins and outs) Calculate, process,



and remit tax withholding Prepare and submit required CRA and IRS tax filings related to account activity Administer and monitor Letters of Intent (LOIs) with fund companies Support periodic control processes, including certificate counts and CIRO attestations 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 University Degree related to business, accounting or finance ~Experience in the financial services industry ~ Proficient in Microsoft Office (Word, Excel, Access) and Google Suite ~ Experience with Dataphile is an asset ~ Ability to work with minimum supervision ~ A strong commitment to customer service ~ Knowledge of various financial products including equities is an asset ~ Completion of the Canadian Securities Course (CSC) is an asset Competitive base pay in the range of $55,000
- $90,000, depending on qualifications A progressive and high-performance team environment 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. ii) consistently deliver high-quality client experiences; Caldwell Securities Ltd. is committed to the principles of employment equity and diversity. 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. Caldwell Securities Ltd. does not use Artificial Intelligence (AI) to screen job applicants.

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