Associate, Equity Capital Markets

100 Queens Quay E, Toronto, ON M5E 1Z2, Canada Req #93
November 10, 2023
About Us:

As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada’s best investment advisors. We’ve embarked on an exciting growth phase – a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.

Where we’re going: 

We want to be the brand of choice for Canada’s top advisors and their high-net-worth clients. We also have an ambitious growth strategy to triple our Assets under Administration (AUA) to $100 billion by 2025.

To reach our goals, we are making strategic investments in technology, real estate and, most importantly, our people.

Position Overview    
The role will entail assisting senior members of the Equity Capital Markets Team to support Richardson Wealth’s network of Investment Advisors in the area of Private Placement deal flow and settlement. The Capital Markets group is seeking a highly detailed, self-starter. One should expect to interact with both internal and external parties including Issuers, Investment Advisors and Lawyers to facilitate the distribution and settlement of private placements. Thus, they will need to be a strong and succinct communicator with the ability to connect. They should also expect to work with various internal departments such as Operations and Compliance to meet business needs.
Duties and Responsibilities    
•    Facilitation of non-brokered private placements which include collecting, reviewing & submitting subscriptions agreements; managing communication to the Investment Advisors, Issuers, Operations and Compliance
•    Ticketing and coordination of settlement with operations & Issuers 
•    Assist in the execution of brokered financings, which includes communicating with other dealers, organizing and tracking orders, and overseeing the completion of deals alongside back office departments
•    Cooperate with other internal departments to make sure internal policies are enforced 
•    Securities organization and administration requires the candidate to record and update various spreadsheets and files for record keeping and tracking purposes
•    Using Dataphile and NIAD for daily inventory management and reconciliation  
•    Deal flow management for Private Placements 
•    Assist in other transaction execution tasks as required
•    Other functions as required by the group
•    5+ years of experience in financial services industry, including 2+ years of experience in capital markets
•    Experience working with Investment Advisors
•    Energetic self-starter who is flexible, organized, conscientious, proactive, and detail-oriented
•    Demonstrated sense of personal accountability and urgency for achieving results
•    Ability to work effectively, as well as independently, in a team environment
•    Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
•    Excellent verbal, written, and interpersonal communication skills
•    Strong analytical skills with high attention to detail and accuracy
•    Knowledge of Dataphile & NIAD preferred 
•    Post secondary education in a related discipline would be an asset
•    The completion of the Canadian Securities Course and Conduct and Practice Handbook would be an asset

Why Apply:

Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, understanding and energy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, customer-focused, and customer-centric?

If so, we’re ready to invest in you.

Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.
We proudly support the Black Opportunity Fund, Pride at Work Canada, and Women’s Executive Network.

Other details

  • Pay Type Salary
Location on Google Maps
  • 100 Queens Quay E, Toronto, ON M5E 1Z2, Canada