Dealing Representative

The Role

The Dealing Representative at Fieldhouse Capital Management Inc. will be responsible for identifying and securing new clients, conducting comprehensive research and due diligence on exempt market securities, and offering suitable investment recommendations to existing and prospective clients.

This individual will play a crucial role in business development by sourcing prospective clients, maintaining strong client relationships, and collaborating closely with internal teams to uphold the highest standards of compliance and client service.

Responsibilities

• Build and maintain client relationships by providing investment recommendations for exempt market securities, while ensuring alignment with each client’s Know-Your-Client (KYC) information and suitability considerations.
• Maintain a robust pipeline of prospective clients through active prospecting, networking, and referrals.
• Conduct KYC meetings and collaborate with Fieldhouse’s client services team to streamline the onboarding of new clients.
• Provide ongoing support to clients, addressing investment-related questions, concerns, and opportunities in a timely manner.
• Maintain comprehensive knowledge of the firm’s product shelf, including Fieldhouse Pro Funds Trust funds, to accurately represent offerings and provide informed investment recommendations.
• Oversee the firm’s exempt market product shelf by performing due diligence and Know-Your-Product (KYP) reviews of existing securities.
• Expand the product shelf by conducting due diligence and KYP evaluations of new exempt market securities to better serve both new and existing clients.
• Attend industry conferences and events to stay informed about market trends and to connect with prospective clients.
• Ensure strict adherence to all relevant regulatory requirements and the firm’s policies and procedures.
• Maintain accurate records of sales activities, client interactions, and due diligence findings.
• Collaborate with internal teams (e.g., compliance, marketing, and operations) to ensure seamless client experiences and effective promotion of the firm’s offerings.
• Stay updated on industry developments and emerging market opportunities to refine client strategies and enhance product recommendations.

Qualifications

• Bachelor’s degree in business, finance, economics, or industry designations such as CFA, CIM, or CFP are considered valuable but not mandatory.
• Successful completion of the Canadian Securities Course (CSC) and/or Exempt Market Products Course (EMP) is required; the firm may provide CSC and EMP qualification exam training to the right candidate.
• Experience in sales, business development, or a similar role within the financial services industry, with a proven record of meeting or exceeding sales targets.
• Previous or existing registration as a Dealing Representative at an Exempt Market Dealer is a strong asset.
• Existing relationships with high-net-worth individuals or existing book of business are considered a strong asset.
• Commitment to delivering trusted and informed client-centric investment advice.
• Knowledge of the Canadian Mutual Fund or Exempt Market landscape, along with a solid understanding of relevant regulatory requirements.
• Demonstrated research and due diligence experience and thorough investment analysis skills.
• Excellent communication and interpersonal abilities, with the capacity to engage effectively with existing and prospective clients.
• Integrity and a willingness to invest significant effort to build a successful advisory career.
• Proficiency in MS Office applications and CRM software (e.g. Salesforce, DocuSign) is an advantage.

What We Offer

• Competitive compensation structure designed to reward high performance and business development success.
• Commission compensation structure with unlimited earning potential.
• Comprehensive benefits package, including extended health and dental coverage (where applicable).
• Ongoing professional development and education support to help you expand your skill set and stay ahead of industry trends.
• Opportunities for career advancement and the chance to play a key role in shaping the firm’s growth strategy.
• A dynamic work environment that values entrepreneurial spirit and encourages innovative thinking.

Additional Information

Successful candidate will be required to complete a background check and criminal record check. Fieldhouse Capital Management Inc. is an inclusive and equitable employer that is committed to fostering a diverse and accessible recruitment experience for all candidates. If you require accommodations at any stage of the process, please reach out to us at careers@fieldhousecap.com for confidential assistance.

About Fieldhouse

Fieldhouse Capital Management Inc. specializes in addressing the complex financial needs of affluent individuals, families, and professionals. We provide personalized, full-service wealth management—including discretionary portfolio management, retirement and estate planning, insurance solutions, and tax strategies—so our clients can protect, grow, and transfer their wealth with confidence.

What sets us apart is our commitment to delivering results through deep expertise and alternative investment solutions. Through our Fieldhouse Pro Funds Trust, we offer a suite of carefully engineered, alternative-styled investment funds that range from lower-risk, income-focused portfolios to higher-risk, absolute-return strategies. By leveraging these funds, clients and partner advisors can tap into our diverse range of tested investment philosophies and strategies suited for the modern portfolio.

Fieldhouse Capital Management Inc. is registered as a Portfolio Manager, Investment Fund Manager and Exempt Market Dealer in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario.

How to apply

Please submit your resume and cover letter to:

careers@fieldhousecap.comAll applications will be held in strict confidence. We appreciate the interest of all applicants; however, only those selected for an interview will be contacted. No phone calls, please.