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Senior Adviser Assistant - Melbourne

Our Wealth Management department is looking for an experienced professional to join our Adviser Support team in Melbourne. This opportunity will involve working with a team of Advisers and their clients to ensure the smooth and efficient administration of their business.

Duties and Responsibilities will include:

  • Manage the day-to-day administration and operational needs of your allocated Advisers’ businesses;
  • Supporting Advisers with market trading and order management;
  • Supporting Advisers with over-flow of phone calls and client communications;
  • Assisting clients with administration based queries regarding their investments and accounts;
  • Preparation and management of account administration documents such as account opening, updates, off-market/broker transfers, corporate actions, estates, super funds and trusts;
  • Assist with market related administration, portfolio and transaction preparation;
  • Work with the broader Wealth Team to provide cross support as required;
  • Liaising with third party product and service providers regarding client queries;
  • Managing the timely settlement of transactions;
  • Participate in in-house training and development and Continued Professional Development, including keeping up to date with Canaccord Genuity policies and procedures, ASX business rules and Corporate Law requirements where applicable;
  • Assist with the coordination of client events as and when required.

Your Skills and Expertise

  • Minimum of 3-5 years’ experience in a stockbroking, back office or Financial Services role is required;
  • Possession of RG146 accreditation is essential;
  • Knowledge of a wealth management and/or stockbroking systems and IRESS highly regarded;
  • The ability to prioritise, multi-task and meet strict deadlines;
  • Client service focused with excellent interpersonal skills, including building rapport with clients;
  • Demonstrated initiative with the ability to work under minimal supervision.

To apply for this opportunity, email a copy of your resume and cover letter to CGAU.HR@cgf.com

Applications close COB 13 August 2021.

 

Compliance Officer – Advice Specialist, Melbourne

An exciting opportunity has arisen in our Melbourne office for a driven professional to join our Compliance team to ensure ongoing compliance and regulatory obligations for the group.

Duties and Responsibilities will include:

  • Review and monitoring of the firm’s advice business.
  • Provide advice and respond to queries from staff regarding internal practices and processes to ensure compliance with relevant rules and regulations as required.
  • Review and update internal company documentation to ensure compliance with internal policies and regulatory requirements.
  • Regularly review internal Compliance policies and procedures and update where required.
  • Keep abreast of regulatory changes relating to advice, provide guidance to the organisation on the updates required and implement the required changes across the organisation.
  • Assist the Compliance team with company and industry regulator enquiries / projects as required.
  • Investigate and manage client matters and prepare responses to both clients and regulators where applicable.
  • Maintain and update internal compliance registers.
  • Review and analyse data from internal sources to identify potential risks and training requirements related to Advice.
  • Work with the Risk Manager for the Adviser Annual Compliance Review process.

Your Skills and Expertise

  • Relevant tertiary qualifications in Commerce, Law or a related discipline.
  • A minimum of five years’ experience in a Compliance position in an advice business.
  • RG146 compliance (please refer to www.asic.gov.au for further details) is desirable but not essential.
  • Experience in banking/financial planning industry is required and experience in a Wealth Management firm is preferred.
  • Strong analysis and problem-solving skills.
  • Demonstrated ability to identify and provide commercial solutions to a range of operational issues.
  • Demonstrated ability with keyboard and computing skills, MS Office products including Advanced Excel skills
  • Demonstrated ability to adapt to change and work with technology solutions.
  • Proven ability to prioritise, multi-task and effectively and efficiently meet deadlines.
  • Well-developed interpersonal and communication skills, including strong written skills and the ability to work effectively in a team.

To apply for this opportunity, email a copy of your resume and cover letter to CGAU.HR@cgf.com

 

Middle Office Administrator - Melbourne

Our Trade Support and Settlements team is looking for a driven professional to join our Middle Office function in Melbourne. This is a unique opportunity to join our growing business, providing exceptional support to our Capital Markets and Wealth Management businesses.

Duties and Responsibilities will include:

  • Process and oversee cash and stock settlements for on-market and IPO/placement transactions
  • Process domestic retail and institutional equity bookings and post-trade matching
  • Ensure compliance with internal processes, procedures, and external regulatory requirements throughout
  • Monitor the company Intranet work platform and Middle office inbox.
  • Maintain bank accounts for Straight Through Processing and liaise with external settlement agent for cash settlements, unallocated funds and charging of direct debit dishonours.
  • Update banking details for Placements, or client signed instructions ensuring all identification checks are completed and outbound calls are adhered to.
  • Provide bookings and settlement support for the international team.
  • Complete registry searches, electronic (451) and manual (12a)
  • Archiving documents to electronic document storage program.
  • Assisting the business with ad hoc administrative requests where required
  • Know and adhere to AML/CTF (Austrac), ASX rules and Corporations Act Requirements.

Your Skills and Expertise

  • Prior experience within financial services in either a front or back office role.
  • High level exposure to various settlement requirements including new accounts, stock, cash, bookings, and client services.
  • Highly adaptable with an appetite for learning.
  • Ability to work in different systems concurrently.
  • High level of organisational skills that enable deadlines to be met and multiple functions to be managed throughout the course of the day.
  • Demonstrated ability to use initiative and be self-managed, whilst working as part of a supportive and coordinated team.
  • Strong attention to high quality work.

To apply for this opportunity, email a copy of your resume and cover letter to CGAU.HR@cgf.com

 

Established Wealth Advisers

At Canaccord Genuity we’re focused on helping our Advisers build a sustainable long-term wealth business, rather than meeting monthly financial targets. We offer the opportunity to learn from other experienced Advisers in our firm and lean on them for advice and support when required.

As a Canaccord Genuity Wealth Adviser you will be provided with a supportive and accommodative work environment that allows you to work autonomously or as part of a team. You can also work where and how you want using our remote working capabilities.

Canaccord Genuity is one of Australia’s leading stockbroking and financial services firms. We have a true national presence with 8 offices nationwide, a powerful advisory team and highly respected institutional, corporate finance and equities research teams. As an equal opportunity employer, we’re committed to creating a diverse and inclusive workplace.

Canaccord Genuity Wealth Advisers have access to:

  • Best-in-breed technology platform solutions
  • Expert support in Superannuation and Financial Planning
  • A leading Wealth Management website and app for your clients
  • Wealth focused publications and seminars for your clients
  • An attractive remuneration structure

Our range of employee benefits support a healthy work/life balance for our staff. These include remote work-stations, flexible working conditions, paid parental leave, paid Dad and Partner Leave and the ability to purchase additional leave, to name just a few.
 
With flexibility comes choice. If you have an established Wealth Advisory business we’d like to talk to you, regardless of where you would like your business to be based.

Please contact us at CGAU.HR@cgf.com if you think you're a great fit for this role and would like to confidentially discuss joining our team.

 

Established Stockbrokers / Equity Advisers / Private Client Advisers

Grow your revenue and take your established business to the next level on Canaccord Genuity's Adviser platform. In addition to a highly attractive remuneration structure, we offer our Advisers a range of business development and support services to use as required. You’ll also be able to work where and how you want using our remote working capabilities.

Canaccord Genuity is one of Australia’s leading stockbroking and financial services firms. We have a true national presence with 8 offices nationwide, a powerful advisory team and highly respected institutional, corporate finance and equities research teams. As an equal opportunity employer, we’re committed to creating a diverse and inclusive workplace.

Canaccord Genuity Advisers have access to:

  • A quality in-house research team with strong industry knowledge and technical skills
  • Regular corporate finance deal flow
  • Best-in-breed systems and technology

Our range of employee benefits support a healthy work/life balance for our staff. These include remote work-stations, flexible working conditions, paid parental leave, paid Dad and Partner Leave and the ability to purchase additional leave, to name just a few.

With flexibility comes choice. If you’re an experienced Adviser with an established business we’d like to talk to you, regardless of where you would like your business to be based.

Please contact us at CGAU.HR@cgf.com if you think you're a great fit for this role and would like to confidentially discuss joining our team.