Associate Consultant - Securities Licensed
Location: Victoria, British Columbia (In-Office)
Experience: Minimum 3 years
Registration: Registered and in good standing as a Securities Licensed Representative with
a sponsoring dealer under the rules of the Canadian Investment Regulatory Organization
(CIRO)
Position Overview:
An established advisory practice in Victoria, BC. Dumitru Flanagan and Associates is seeking a Securities Licensed Professional to support a practice specializing in comprehensive, goals-based financial planning for high net-worth individuals and families. The practice provides integrated planning services across investment management, tax planning coordination, philanthropic planning, and estate planning strategies, delivered in collaboration with clients’ external professional advisors where appropriate.
This is a full-time, in-office role operating in accordance with CIRO rules, applicable
Securities legislation, and firm compliance policies.
The successful candidate will work collaboratively with the advising representative and
Branch leadership to support client relationships, financial planning processes, and account administration.
Key Responsibilities:
· Collaborate closely with the Lead Advisor on onboarding activities, client events, including preparing preliminary materials, coordinating discovery steps, managing required documentation, and supporting the transition from prospect to engaged client.
· Lead and coordinate the client’s onboarding experience, ensuring a smooth, timely, and professional transition for new clients entering the practice.
· Serve as a contact for ongoing client service needs, responding promptly to inquiries, resolving issues, and coordinating follow-ups to maintain an exceptional client experience.
· Prepare for and participate in client meetings, including gathering required documentation, organizing materials, recording follow-up items, and ensuring all deliverables support a seamless client engagement.
· Process account openings, transfers, updates, and all related documentation in accordance with regulatory, compliance, and firm standards, ensuring accuracy and efficiency throughout the client lifecycle.
· Support the preparation, analysis, and maintenance of comprehensive financial plans using Conquest Planning software, ensuring data integrity and timely updates based on client needs.
· Prepare portfolio reviews, analysis, and comparison reports using approved firms tools (including Capital, where applicable) to support client discussions and ongoing servicing.
· Coordinate the collection, organization, and verification of information required for tax, estate, insurance, and philanthropic planning, working collaboratively with
clients' accountants, legal professionals, and other advisors.
· Maintain accurate, up-to-date client records, ensuring all documentation meets regulatory, compliance, and firm documentation standards.
· Work effectively with compliance, operations, and internal teams to support efficient processing, issue resolution, and adherence to firm policies across all client-related activities.
Qualifications & Registration Requirements:
Minimum 3 years of experience in a securities-licensed advisory role
Registered and in good standing as a Securities Licensed Representative with a CIRO
regulated investment dealer
Successful completion of:
· Canadian Securities Course (CSC)
· Conduct and Practices Handbook (CPH) Course
· Any additional licensing required by the sponsoring dealer
· Life Insurance Licensed or working towards
· Certified Financial Planner (CFP®) designation preferred or working toward completion
· Experience supporting high-net-worth client relationships
· Strong organizational skills and attention to regulatory detail
Compensation & Benefits:
· Base compensation commensurate with experience $65,000-$90,000
· Eligibility for performance-based bonus opportunities
· Three weeks (15 days) of paid vacation annually
· Personal days in addition to vacation entitlement
· Comprehensive group benefits package available following successful completion of the probationary period
· Support for continuing education requirements and professional development
