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Securities Associate Jobs in Alberta (NOW HIRING)

Tjx

In this position, you'll help implement Loss Prevention programs, carry out security, fire ... Enjoy Associate discounts at our stores, available to you and eligible family members. * Receive ...

Walmart

(CAN) Asset Protection Associate

Edmonton, AB · On-site

CA$17.75/hr

The Asset Protection Associate plays a key role in creating and maintaining a safe, secure, and ... WHAT YOU'LL DO Store Security and Loss Prevention Conducts daily patrols of the store to help ...

Walmart

(CAN) Asset Protection Associate

Leduc, AB · On-site

CA$17.75/hr

The Asset Protection Associate plays a key role in creating and maintaining a safe, secure, and ... WHAT YOU'LL DO Store Security and Loss Prevention Conducts daily patrols of the store to help ...

Walmart

(CAN) Asset Protection Associate

Leduc, AB · On-site

CA$17.75/hr

The Asset Protection Associate plays a key role in creating and maintaining a safe, secure, and ... WHAT YOU'LL DO Store Security and Loss Prevention Conducts daily patrols of the store to help ...

Walmart

(CAN) Asset Protection Associate

Calgary, AB · On-site

CA$17.75/hr

The Asset Protection Associate plays a key role in creating and maintaining a safe, secure, and ... WHAT YOU'LL DO Store Security and Loss Prevention Conducts daily patrols of the store to help ...

Walmart

(CAN) Asset Protection Associate

Red Deer, AB · On-site

CA$17.75/hr

The Asset Protection Associate plays a key role in creating and maintaining a safe, secure, and ... WHAT YOU'LL DO Store Security and Loss Prevention Conducts daily patrols of the store to help ...

River Cree Resort & Casino

Security Officer

Enoch, AB · On-site

The primary purpose of the Security Officer is to ensure the safety and well being of guests and associates of the River Cree Resort. Reporting to the Security Shift Supervisor, the Security Officer ...

Royal Bank of Canada

Associate

Calgary, AB · On-site

RBC Dominion Securities is a relationship-focused investment and wealth management firm that ... an Associate. What will you do? * Manage daily trading operations, including the accurate and ...

Royal Bank of Canada

Associate

Red Deer, AB · On-site

The RBC Dominion Securities branch in Red Deer is looking for a resourceful, efficient and ... as an Associate. By providing ongoing, exceptional service and support to our clients, you will ...

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Securities Associate information

What is a securities associate?

Securities Associates are financial professionals who assist with the buying, selling, and management of securities such as stocks, bonds, and other investment products. They typically work for investment banks, brokerage firms, or asset management companies, supporting senior staff with research, client communications, and transaction processing. Their role often involves analyzing market trends, preparing reports, and ensuring compliance with industry regulations. Securities Associates serve as a key link between clients, traders, and other financial professionals in the investment process.

What are the key skills and qualifications needed to thrive as a securities associate?

To thrive as a Securities Associate, you need strong analytical skills, attention to detail, and a solid understanding of financial markets, typically supported by a degree in finance, economics, or a related field. Familiarity with trading platforms, Bloomberg Terminal, and relevant regulatory certifications such as the FINRA Series 7 license are commonly required. Exceptional communication, problem-solving abilities, and the capacity to work well under pressure are key soft skills for this role. These competencies are crucial for ensuring accurate transaction execution, compliance, and effective client service in a fast-paced financial environment.

What are some common challenges faced by securities associates when managing multiple client accounts?

Securities Associates often handle several client portfolios simultaneously, which can present challenges in balancing competing priorities and ensuring timely execution of trades. Staying organized and maintaining up-to-date knowledge of market trends are crucial, as is communicating effectively with both clients and senior team members. It’s important to develop strong time-management skills and leverage technology tools to monitor accounts, generate reports, and respond quickly to client inquiries. Collaborating closely with analysts and compliance teams can also help mitigate risks and maintain high service standards.

What is the difference between Securities Associate vs Investment Banking Analyst?

AspectSecurities AssociateInvestment Banking Analyst
Required CredentialsJuris Doctor (JD) or relevant securities licensesBachelor's degree, often in finance or economics; some roles require licenses
Work EnvironmentLaw firms, financial institutions, or corporate legal departmentsInvestment banks, financial advisory firms
Employer & Industry UsageLegal and financial sectors focusing on securities law and complianceFinancial services, mergers & acquisitions, capital markets
Common Search & Comparison IntentUnderstanding legal and compliance roles in securitiesFinancial analysis and deal-making roles

The Securities Associate primarily focuses on legal and compliance aspects related to securities, often requiring legal credentials like a JD. In contrast, Investment Banking Analysts concentrate on financial analysis, deal execution, and client advisory within investment banks. While both roles operate within the financial industry, their responsibilities, credentials, and work environments differ significantly.

What cities in Alberta are hiring for Securities Associate jobs?

Cities in Alberta with the most Securities Associate job openings:

Securities Associate jobs near you

Licensed Associate

Klopp Richards and Associates

Calgary, AB • On-site

Full-time

Re-posted 14 days ago

Job description

Job Description Our Calgary client is looking for a Licensed Investment Associate who will report to an Investment Advisor, and you will leverage your industry knowledge, business development and customer service skills to provide exceptional customer and financial services to our clients and internal partners. As the Investment Associate, you will: Research, analyze and execute trade orders across a portfolio of securities in an accurate and timely manner Process a variety of account activities (converting RRSP to RRIF, setting up RRIF payments, estates, beneficiary updates, etc.) Process a variety of transactions (ex: issuing cheques, deposits, contributions and withdrawals, incoming and outgoing transfers) Process trades and provide quotes Assist in researching products, services, and investment opportunities (equites, bonds, structured notes, discretionary products etc.) Assist with business development by coordinating opportunities with Centers of Influence, following up on prospective client leads, using a CRM tool to develop pipeline and opportunities for revenue and asset under administration growth Help draft the client financial newsletter by gathering information; preparing and editing articles; designing graphic presentation; preparing and distributing to clients Respond to client emails and phone calls in a timely, warm and friendly manner Proactively maintain current knowledge of policy and procedure changes within the firm and industry Commit to a rigorous follow up relating to all client transactions to ensure proper processing and minimize errors Maintain client files to ensure all documentation and notes are compliant within industry regulations. Acts as a resource person for clients (ex: generating specialized reports, questions about specific products) Provide client account reports, portfolio reviews, tax reports, etc

Perform other duties as assigned Your education and qualifications include: A minimum of 5 years' industry experience, preferably in an administrative, trading or operational capacity Diploma in business administration, accounting, finance, or similar field of study, Bachelor's degree preferred Professional designation such as PFP, CFA or CFP considered an asset Comprehensive knowledge of topics related to the financial and securities industry, including investment and insurance products and services Strong organizational skills with excellent attention to detail Demonstrate a reliable work ethic with the ability to manage multiple, competing priorities Ability to adapt quickly to changing needs and work requirements Customer-focused attitude with a commitment to providing extraordinary Demonstrate a high proficiency in Microsoft Office tools and financial software Conditions of Employment: Must be legally eligible to work in Canada Current and maintained registration as an IR, including completion of all courses and experience requirements, with IIROC with the ongoing requirement to fulfill Continuing Education requirements Completion of CSC and CPH A background check, satisfactory to the employer, will be required of the successful applicant prior to commencing employment If you are interested in this opportunity, please send a copy of your resume to Amy at aanderson@klopprichards.com quoting JOB-5637. Klopp Richards & Associates would like to thank all applicants in advance for their interest in this opportunity.

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