Job description
About This Job
We are hiring a Senior Administrative Assistant to support a well-established and highly successful Investment Advisory practice. The Senior Administrative Assistant is responsible for managing the full spectrum of client account administration, transaction processing, account transfers, and regulatory documentation within this high-volume Investment Advisory practice. This is a key position, the operational backbone of the practice and requires extensive experience supporting Investment Advisors, managing client accounts, processing investment transactions, and ensuring regulatory compliance.The successful candidate will be a seasoned financial services professional who can operate independently, oversee complex client transactions, and provide exceptional service to high-net-worth clients.ResponsibilitiesClient Account AdministrationOpen new client accounts and maintain account documentationProcess account transfers, including incoming and outgoing assetsManage client requests and account updatesCoordinate RESP withdrawals, RRIF payments, estate settlements, and other account transactionsEnsure all documentation is complete, accurate, and compliantTrade & Transaction ProcessingProcess client trade instructions accurately and efficientlyHandle cash withdrawals, deposits, transfers, and journal requestsMonitor transactions through completion and resolve any discrepanciesLiaise with internal operations teams and external financial institutionsCompliance & Regulatory AdministrationMaintain compliance documentation and client recordsReview new account applications for completeness and regulatory requirementsEnsure adherence to CIRO and firm compliance standardsPrepare and submit regulatory and compliance-related paperworkSupport audits, reviews, and compliance inquiriesClient Service ExcellenceAct as a primary point of contact for clientsRespond to client inquiries regarding accounts, transactions, and documentationBuild strong, trusted relationships with clients through professional and proactive serviceHandle sensitive and confidential client information with discretionOffice Operations LeadershipServe as the senior administrative resource within the practiceIdentify opportunities to improve processes and efficienciesProvide guidance and support to junior administrative staff as requiredEnsure smooth day-to-day operations of the advisory practice
Position Name
Administrative Assistant