Augustine Braima
Calgary,AB
Summary
Dedicated Investment Associate experienced in supporting Investment Advisors in wealth management settings.
Background includes roles at National Bank Financial and Richardson Wealth, with a focus on securities transactions, IIROC compliance, and portfolio reporting.
Committed to delivering high-quality client service and maintaining regulatory standards, and certified in CSC and CPH, with an Investment Regulation License, seeking positions in Calgary, AB.
Overview
3
3
years of professional experience
1
1
Certificate
Work History
Wealth Associate
National Bank Financial
Calgary, Alberta
09.2024 - Current
- Trade execution, deposits, withdrawals, transfers, and currency conversions
- Account opening, maintenance, and compliance oversight
- Portfolio reporting and client meeting preparation
Associate
Richardson Wealth
Calgary, Alberta
05.2023 - 09.2024
- Trade processing, cash movements, and transfers
- KYC documentation and account onboarding
- Advisor and client service support
- Assisted clients with portfolio management and investment inquiries.
- Coordinated communication between clients and financial advisors.
- Conducted market research to support investment strategies.
- Prepared client reports and presentations for advisor meetings.
- Maintained accurate records of client interactions and transactions.
- Streamlined administrative processes to enhance operational efficiency.
- Collaborated with team members on compliance and regulatory requirements.
- Built relationships with customers by providing friendly customer service.
- Supported onboarding of new clients through documentation and follow-up.
Education
Bachelor of Business Administration -
Mount Royal University
Skills
- Trade execution
- KYC compliance
- Account management
- Portfolio reporting
- Market analysis
- Customer relationship management
- Investment strategy support
- Regulatory compliance
- Client onboarding
- Team collaboration
- Effective communication
- Problem solving
- Attention to detail
- Financial reporting
Certification
• Canadian Securities Course (CSC), 2024
• Conduct and Practices Handbook (CPH), 2024
• Wealth Management Essentials, 2026 (In progress)
• Investment Regulation Licensed, 2025
• Conduct and Practices Handbook (CPH), 2024
• Wealth Management Essentials, 2026 (In progress)
• Investment Regulation Licensed, 2025
Timeline
Wealth Associate
National Bank Financial
09.2024 - Current
Associate
Richardson Wealth
05.2023 - 09.2024
Bachelor of Business Administration -
Mount Royal University
Selected Contributions Highlights
- Trade execution, cash movements, and account maintenance for advisory practices
- Securities transactions executed in accordance with IIROC and firm policies
- Portfolio performance and client review reporting
- Client contact for service requests and follow-up
- Advisor, operations, and compliance collaboration