Senior Associate, Securities Services

Salary Range: $55,000 - $60,000

About the Company: Canaccord Genuity (CG) is a leading independent full-service financial services firm with operations in two principal segments of the securities industry: wealth management and capital markets. CG is driven by an unwavering commitment to build lasting client relationships by generating value for individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services. CG is a leading independent wealth management firm in Canada and the leading mid‑market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.

We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions. Our entrepreneurial and friendly team will challenge you to learn and grow every day. We value great work and collaboration and strive to eliminate bureaucratic thinking. We’re looking for talented people who thrive in a fast‑paced environment and want to have an impact with innovative ideas and best practices.

Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions. We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know.

Our Canadian operation, Canaccord Genuity Corp., is currently seeking an individual with strong administrative and customer service skills to join their team. Excellent organizational, communication, research and computer skills are essential for this role. The successful candidate must be able to prioritize and manage a complex workload as well as work overtime as required.

Responsibilities

• Communicate effectively with external issuers, their legal counsels, transfer agents, and internal CG departments/clients.
• Process physical warrant exercises, expirations, accelerations, and answer general inquiries involving warrants held in custody.
• Prepare wire transfers to issuers or their legal counsels.
• Process employee option exercises and warrant exercises for U.S. resident clients, including legend removal components.
• Provide client service on a wide range of operations functions for U.S. resident clients, including U.S. legend removals (Rule 904 & Rule 144).
• Set up and track wires and cheques to pay transfer agent fees.
• Maintain monthly SLA statistics for legend removals & estates.
• Provide backup processing for deposits and withdrawals of physical certificates in CDS, DTC and with our foreign custodian.
• Respond to client and broker inquiries in a timely manner.
• Perform additional responsibilities or projects as assigned.
• Maintain an openness to cross‑train and learn other areas of the Securities Services Department to provide support where necessary.

Skills & Qualifications

• Minimum of 3–5 years of securities industry experience.
• Previous experience handling physical stock certificates, warrants, and DRS is an asset.
• Previous experience working with U.S. legend removals (Rule 904 & Rule 144) is an asset.
• Strong organizational skills with excellent attention to detail.
• Strong customer service skills.
• Excellent verbal and written communication skills.
• Ability to work effectively under pressure and meet deadlines is essential.
• Strong problem‑solving skills with the ability to work independently and within a team; a team‑player perspective is key.
• Hard‑working, positive, dedicated and prepared to work overtime when necessary.
• Strong level of MS Outlook, Excel and Word required.
• Familiarity with Dataphile and/or NETX360 is an advantage.

EEO Statement

Canaccord Genuity strongly encourages applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. All applications will be held in strict confidence. In order to be considered for employment, candidates selected for interview will be required to show proof of citizenship, permanent residence or eligibility to work in Canada with no restrictions.

Application Information

Protecting your online safety: Canaccord Genuity and its affiliates do not use text messages for recruitment purposes. If you have received a text message claiming to be from CG or an authorized representative regarding job recruitment, please treat it as fraudulent and do not respond.

We wish to thank all candidates for their interest but will only contact applicants selected for an interview. No phone calls please. Thank you for your understanding.

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