JOB STATEMENT:Guardian Capital Group Limited (Guardian) is a global investment management company servicing institutional, retail and private clients through its subsidiaries. As at June 30, 2024, Guardian had C$58.6 billion of total client assets while managing a proprietary investment portfolio with a fair market value of C$1.1 billion. On July 2, 2024, Guardian completed its acquisition of Sterling Capital Management, LLC, a Charlotte, North Carolina-based investment management firm, adding approximately C$104.0 billion (US$76.0 billion) in client assets. Founded in 1962, Guardians reputation for steady growth, long-term relationships and its core values of authenticity, integrity, stability and trustworthiness have been key to its success over six decades. Its Common and Class A shares are listed on the Toronto Stock Exchange as GCG and GCG.A, respectively. To learn more about Guardian, visit asset management division, Guardian Capital LP, is the manager and portfolio manager of the Guardian Capital Funds and Guardian Capital ETFs, with capabilities that span a range of asset classes, geographic regions and specialty mandates. Guardian Capital LP manages portfolios for institutional clients such as defined benefit and defined contribution pension plans, insurance companies, foundations, endowments and investment funds.As part of the institutional administration team, a critical responsibility of this position is processing and ensuring settlement of various types of securities trades. Another key responsibility of this position is overseeing all back-office activity as it relates a set of client accounts or funds.Depth of experience along with time management, problem-solving, and organizational skills will be notable features found in a successful candidate.ESSENTIAL FUNCTIONS:ProcessingResponsible for processing, settling, and reporting of equity and money market trades. This may also involve supervised trade creation and allocation;Assisting with processing of other securities trades including: Bonds, FX, Mutual Funds, Options, Futures, and other derivatives;Investigation and resolution of all types of trade settlement problems. This will involve constant communication with brokers/dealers, custodians, and sometimes third-party fund administrators;Monitoring and escalating of any trade related compliance warnings that may emerge; andTracking, soliciting responses for, responding to, processing and reporting of Corporate Actions for all GCLP accounts.Administration (Settlements)Involved in the maintenance of various trading related systems;Organizing and filing of various trade tickets and confirmations;Collection and distribution of any incoming departmental mail and parcels;Helping test and implement new or upgraded systems; andCoordinating off-site document storage.Administration (Client and Fund Accounts)Reconciling daily cash balances and transactions to custodians for specific accounts and funds;Monitoring cash levels and alerting Portfolio Managers to situations where trading may be required;Monitoring portfolios to ensure compliance with guidelines, restrictions, and standards as set out in the clients investment policy statements;When warranted, acting as a liaison for any of Client Services, Trading, Portfolio Management, Performance, Compliance, and clients; andResponsible for Corporate Action activity as it relates to GCLP accounts.ReportingProviding all manner of regular and ad hoc reports related to trading and client accounts to Portfolio Managers, Traders, Compliance, and other internal and external contacts; andGenerating regular reconciliation reports for internal records and clients.QUALIFICATIONS:Post-secondary degreeMinimum of 2 years of experience within the investment industry focusing on account administrationStrong interpersonal and organizational skills, as well as the ability to work towards deadlinesExtensive knowledge and experience in Microsoft Office;Knowledge of Charles River trading systems and Eagle accountingKnowledge of SS&C products including Pacer, GWP, & SSCNetSuccessful completion of the Canadian Securities Course (CSC) is an asset
Job Title
Settlements & Process Analyst