Independent Financial Adviser

Job Title: Independent Financial Adviser
Location: Perth, Ontario | Remote-friendly, with in-person client meetings as needed
Opportunity: Independent, commission-based practice

Duration: Full-time
Start Date: There is no fixed start date
Interview Process: 2 Rounds (1^st virtual and 2^nd In person)
 
Role Overview
Grow your practice with the support of an established branch
An independent established, full-service wealth management firm branch in Perth is seeking a Financial Advisor to bring, manage and grow their own book of business. This opportunity combines the autonomy of running your own practice with access to shared administrative support, office space, branch-level oversight and client resources.
You’ll remain responsible for your clients and the direction of your business. The branch is particularly interested in speaking with advisors who have approximately $30 million–$40 million in assets under management (AUM) and want to keep growing. That is an indicative range, not a strict cutoff; the overall fit and economics of the arrangement will be considered with each advisor.
Your practice and responsibilities
In this role, you will:

• Manage your own client relationships and provide ongoing advice appropriate to your licensing.
• Grow your practice through proactive business development and relationship-building.
• Lead client meetings, including the initial appointments involved in moving clients to this client.
• Guide clients through account opening and transfers, gathering required information directly during initial onboarding.
• Work with the branch’s shared support team on scheduling, paperwork processing, account administration and financial plans.
• Use available client specialists and resources when clients need support beyond your own practice.
• Meet applicable regulatory, licensing, supervision and compliance requirements.

This is not a role managing the branch leader’s existing book. You would bring and run your own practice, with support available through the branch.
What we’re looking for
You may be a strong fit if you have:

• An established, portable book of business. Approximately $30 million–$40 million AUM is the target range, though advisors with other book sizes may be considered.
• A clear path to transferring your clients. Your ability to bring your book must be assessed in light of any client-ownership, contractual or other restrictions.
• Appropriate licensing. Securities/equity licensing is relevant to the full-service business conducted at Raymond James. Advisors currently licensed only for mutual funds may be considered if they are prepared to complete the additional licensing requirements, subject to client approval and timelines.
• A proactive approach to growth. You’re interested in developing your business rather than relying on clients to come through the door.
• A collaborative working style. You treat clients and colleagues with respect and value a positive office environment.
• Adaptability. You’re comfortable learning new tools and adjusting as systems and ways of working change.

There is no separate minimum-years-of-experience requirement. The focus is on your book, licensing, ability to transfer client relationships and fit with the branch.
Financial Advisor is the working title for this posting. The successful candidate’s approved professional title will depend on their credentials, licensing and applicable compliance requirements.
Independence backed by support
Under the commission-share arrangement, you would have access to shared assistants who can help with phone coverage, appointment booking, paperwork processing, day-to-day account administration and financial plans. You would continue to lead the advisor responsibilities that must be handled personally, including initial client meetings and the collection of required onboarding information.
The branch also provides office space for client appointments and initial compliance supervision. Matters requiring further review can be escalated through client. Depending on client needs, you can draw on client resources in areas such as financial planning, trust, insurance and tax services. Availability and any applicable charges for individual services can be discussed during the process.
The branch currently uses Dynamics CRM and Broadridge. Client expects its systems to evolve, so the ability to learn and adapt is more important than experience with a particular platform.
Where and how you’ll work
This is a remote-friendly opportunity. There is no stated requirement to spend a fixed number of days each week in the Perth office, provided the branch can meet its supervision obligations.
You will need to be available for in-person client appointments when required. In particular, expect more face-to-face work while transferring and onboarding your book: initial client appointments and the gathering of required information must be handled by the advisor. Office space is available for these meetings.
Advisors based within travelling distance of Perth—including Smiths Falls, Carleton Place and Stittsville—may find the location convenient. The practical consideration is your ability to attend the office and meet clients when the work calls for it.
Compensation and practice structure
This is an independent, commission-based opportunity, with no fixed salary or guaranteed draw. Your compensation will depend on the revenue generated by your book, the applicable client payout grid and a negotiable branch share. The branch share helps fund shared staffing, office facilities and branch-level oversight.
 
Joining and interview process
The anticipated interview process includes an initial conversation with the branch leader, followed by an in-person meeting with the office team. The first conversation can be held virtually if needed. Any successful candidate must separately satisfy client background and compliance screening.
There is no fixed start date. Established advisors are welcome to begin the conversation without a formal résumé; an up-to-date LinkedIn profile is sufficient for an initial review.
 

 

 

At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. The pay rate for this position is C$150,000.00/Yearly.