Associate - Trade Control/Operations – Charitable/Structured Flow-Through Program

Position:  Associate - Trade Control/Operations – Charitable/Structured Flow-Through Program


  • The ideal candidate will be a bright, motivated individual that is knowledgeable about both the Capital Markets and Wealth Management activities and functions within an IIROC firm
  • Knowledge and understanding of private placements
  • Will work alongside experienced industry leaders


  • Working with counter-party dealers and their underlying clientele with respect to managing the closing and settlement logistics for live financings including:
    • Coordination of new issue transactions, both brokered and non-brokered
    • Management of live deal materials
    • Communicating with our custodian directly on any new issue or non-brokered matters to ensure seamless settlement
    • Assist with day-to-day tasks as assigned
  • Familiar with preparing Subscription Agreements as well as understanding the Accredited Investor requirements

  • The ability to interact and coordinate with internal and external stakeholders for financings, specifically:
    • Issuer’s counsel (legal advisors)
    • Investment Advisors/PMs at external firms

Minimum Qualifications

  • Working towards the completion of the CSC and CPH materials
  • Experience in the capital markets and financial services industry experience;
  • A bachelor's degree in Business is desirable
  • Demonstrated sense of personal accountability and urgency for achieving results
  • Ability to work effectively, as well as independently, in a team environment
  • Familiar with Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
  • Knowledge of, and familiarity with back-office systems (National Bank Independent Network and ISM)
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy

To apply for this position, please send your resume and cover letter addressed to Manni Buttar ( with the title (Associate CFTS Program) in the subject line. Early submission is highly encouraged as applications are reviewed on a rolling basis. Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide disability-related accommodations to support your participation in Sprott’s recruitment process.

We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.

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