LP Financial Planning Services Ltd is a Winnipeg based CIRO dealer that has been supporting financial advisors for over three decades and continually strives to integrate industry leading processes and systems. Presently servicing a select group of advisors in Ontario, Winnipeg, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.

Reporting to the Director of Strategic Initiatives, the Operations Associate provides critical, high-level support to the LP Team to ensure the accurate and efficient execution of the day-to-day operational processes.

The Operations Associate position is responsible for managing mutual fund services associated with pre/post-trade and transaction activities. The primary objective is to provide an accurate and timely execution of trades/requests, settlements, reconciliation, and reporting events with the ability to revise/ document processes to improve overall efficiency. In addition to participating in other operational tasks.

Primary responsibilities include but are not limited to:

Monitor Trade Desk and always ensure full coverage. Process and affirm trades accurately and in a timely manner.
Attending frontline and 3rd parties’ general inquiries, keep the advisory teams up to date with the industry standards and escalate issues in a timely manner.
Control rejected trades and help advisors to rectify outstanding transactions in a timely manner.
Reconcile transactions within the clearing and settlement process in accordance with LP policies and the industry standards.
Collaborate with the Operations team to triage, troubleshoot, and resolve operational, client, and trading issues.
Process weekly commissions, create and dispatch compensation vouchers.
Deliver service excellence by closely monitoring reports, analyzing, and tracking service standards.
Maintain accurate records for clients and Advisors on Univeris.
Adhering to LP risk and control framework, and CIRO requirements and guidelines
Participate in process improvement and documentation.
Collaborate with management on ad-hoc reports and tasks as assigned.

Post-secondary diploma/degree or equivalent experience in a relevant field (Business, Project Management)
Willingness to expand on professional qualifications by completing the CSC or similar program / courses.
Two - Five years of experience in Canadian Mutual Funds industry is required (investment operation or financial services environment)
A combination of education and experience will be considered.

Technical Knowledge

Working knowledge of FundServ standards, EWMS-Univeris, and Advisor operating systems
Intermediate level proficiency in several business and technology strategies and process improvements.
Ability to conduct analysis and provide recommendations to senior management to drive business decisions.
Technical fluency with the ability to learn and adapt to new technology effectively.
Advanced working knowledge of MS Office (Teams, Excel, Outlook, PowerPoint, and Word).

Skills & Ability

Strong relationship management with the ability to build collaborative working interactions based on mutual trust to meet goals.
Exceptional time management with advanced organizational skills and prioritizing multiple tasks with competing deadlines.
Strong analytical & problem-solving and decision-making skills.
Ability to communicate clearly and concisely, verbally and in writing, to ensure effective interaction with key stakeholders (internal and external) to manage, inform and influence successful outcomes.
Detail oriented with the ability to work independently and in a team setting.

Comprehensive health, dental and vision benetits

Health & Wellness Spending Account

4% Matching RRSP allocation

Great workplace culture!

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Operations Associate