Job Specifications
Company Description
Designed Wealth Management is dedicated to creating tailored financial plans and investment portfolios, offering transparent and unique services. Supporting advisors with meaningful practice management insights, we help them address client needs without competing priorities. Committed to growing advisors’ practices, we emphasize excellence in service and upholding strong core values. We proudly serve the Canadian marketplace with a dedicated team focused on optimizing the advisor experience.
CULTURE AND VALUES
We know that happy employees make all the difference in keeping advisors, and their clients, happy. Our culture is built on the pillars of inclusion, collaboration, accountability, and self-awareness. What excites us is seeing a group of talented people drawing on each other’s strengths, taking responsibility for making things happen, and contributing their voices and ideas to continue to design who we are. We are incredibly ambitious as an organization and seek people who are excited to commit to this opportunity.
DESIGN AS YOU GO
Sometimes you don’t know exactly what you need to succeed, so we let you design your career as you go. If you need professional development, we will work with you. If you need a better office set up, we will work with you. Your input into how we operate is critical to making things happen the best way possible. Imagine being fully immersed in a space where you feel energized, focused and you enjoy your work!
JOB DESCRIPTION
As a close-knit team all roles are highly interactive with other individuals and functions within the firm. You can expect to be working alongside all staff including the executives of the company. This is a unique opportunity to join the organization from the ground floor and have an impact on the developing values and corporate culture.
The ideal candidate will be eager to contribute to the big picture of the company and will be motivated to learn, grow, and engage with staff, partners, and advisors. The candidate will be comfortable taking ownership of their role, interacting with various aspects of a dealer, and expanding their experiences outside of supervision in order to better integrate their role throughout the company. They will take the role seriously and be attentive to detail while also allowing themselves to be challenged with new perspectives and approaches to assessing and managing risk.
RESPONSIBILITIES
All employees undergo departmental cross training, which is emphasized in the first 3 to 6 months of
employment before responsibilities may be narrowed. This provides exposure to other areas in which you
may be interested in taking your career while also ensuring that you are aware of how your specific role
interfaces and impacts other people or functions.
• Review and approve new clients accounts and account update requests, in accordance with rules
and regulations,
• Assess trade suitability and perform Tier 1 or Tier 2 supervision as required,
• Review and pre-approve advice given to clients by Associate Portfolio Managers (APMs)
• Handle trade processing for bulk trading and pooled fund requirements
• Interface with financial processes (e.g., trade commission processing) for reporting purposes;
• Ensure standard operating procedures are followed and that day-to-day requirements are met
• Identify opportunities in compliance to streamline processes and find operational efficiencies,
• Engage in continuous learning and development to increase knowledge as an subject expert,
• Participate in cross-functional department reporting, audit, and review projects.
KNOWLEDGE AND EXPERIENCE
Regardless of experience, we provide specific training and ongoing development to all employees to
ensure that knowledge and experience is applied consistently throughout the organization.
• Bachelor’s degree in business administration, finance, or similar field of study.
• Successful completion of the proficiency requirements for a PM Supervisor including either the
CFA or CIM.
• Successfully completed the Investment Dealers Supervisors Course (IDSC), or currently
enrolled
• Currently registered as a Portfolio Manager Supervisor or the ability to be registered as one.
• 5+ years of investment industry experience in Compliance, Supervision, or similar functions,
• In-depth knowledge of the financial services industry, including understanding of regulatory
requirements of CIRO, familiarity with National Instruments and Provincial Securities
Commissions.
• Experience in assessing alternative assets including private placements, OM funds, flowthrough
shares, and new issues.
• Experience with the Dataphile platform is an asset and,
• Critical thinker and skillful decision maker, adaptable in a changing regulatory environment.
• Excellent organizational skills, able to prioritize important and time-sensitive tasks.
• Ability to work efficiently and accurately in a fast-paced dynamic environment with a sh