Supervisor of Compliance
Resume:
Vivian Lemieux
Telephone: 514-***-****
*********@*********.**
Career Summary
Administrative Assistant processing several years of experience in financial industry as sales assistant and general administrative field. Experience includes client services and project management. A fast learner who works well with minimal supervision while troubleshooting and resolving problems quickly and analytically under stressful situation. Hard working and very determined individual, team oriented. Excellent communication and interpersonal skills. Special Projects & Achievements
• Opened up the Commodity Branch with one of the Chairman Club Members at Midland Doherty.
• Coordinated closely with brokers on setting up seminars to generate and improve client relations.
• Worked closely with branch manager and Toronto office on estimating cost and expenses in operating a branch.
• Established business relationships with various Commodity U.S exchanges.
• Identified and rectified an existing problem that resulted in time saving in the Securities Department
• Successfully negotiated withdrawal of fees with European custodian to transfer all held securities to competitor.
• Met targets and increased business for Financial Advisor by 30% Employment History
BMO Nesbitt Burns (Contract) 09-202*-**-****
Supervisor of Compliance
Supervision of retail client accounts. Responsible for following policies and procedures that specifically address daily and monthly supervision of trading activity in retail client accounts. Canadian Imperial Bank of Commerce 01-200*-**-**** Financial Service Representative
• Day to day contact with existing CIBC clients on a national level to promote CIBC products
• Responsible for promoting and selling CIBC Insurance Campaign (Accidental/Hospital Protector Plan)
• Opening up Saving/chequing/unlimited chequing accounts
• Opening of RRSP Accounts, TFSA, Investments, Mutual Funds.
• Adjustments of Service and transfer fees, setting up clients for online banking, mobile banking
• Qualifying CIBC customers for credit products
• Working with Mortgage Dept on opening and refinancing Mortgages
• Closely worked with team leaders on coaching and introducing new innovative ways to improve client experience
Pfiffner Management Inc.
Administrative Assistant (Part Time) 09-200*-**-****
• Responsible for verification and production of accounts payable and accounts receivable
• (Simply accounting software)
• Issued monthly billing and Invoicing for clients
• Reconcile statements, assist in preparation of detailed year-end reporting.
• Evaluated yearly management fees for each individual client (including GST & QST)
• Followed up on all transactions and transfers with necessary adjustments.
• Assured the weekly backups completed successfully to simplify data recovery
• Worked closely with auditors on ensuring accuracy and verification regarding the accounting system
• Monthly process of checking and matching client Portfolio figures on Software N-Dex and TD Client statement. Completion of Administrative Duties
Les Industries AFM specialistes en courroies de convoyeur Receptionist/Customer Service Representative (Temporary) 01-200*-**-****
• Was assigned to take orders from customers
• Submitted orders by fax to head office for processing (Oshawa)
• Followed up and informed customer of the actual delivery date of order
• Played primary role in support of Sales Representative
• Prepare prepaid packing note for transport pick-up of merchandise to client
• Acquired knowledge of software program (Accpac) which increased efficiency, entered in database client information.
• Assigned to follow-up on collection for accounts in the province of Quebec Canadian Depository for Securities Ltd. 09-200*-**-**** Senior Operations Clerk – Transfer/Custody (Contract)
• Responsible for the day-to-day timely processing of all deposits and withdrawals.
• Timely analysis and response to incoming telephone inquiries through investigation of CDS records and liaison with transfer agents, participants, banks and other CDS departments and regional offices
• Service the transfer window including verification of incoming transactions/securities and release of instant withdrawals &/DA’s.
• Prepares DCS System Ledger Adjustment request when required and DCS Inventory adjustments to maintain the integrity of CDS and participants records and follows through with SIES Ledger Adjustment required for certain transactions.
Mirabaud Canada Inc
Swiss Bank
Securities Dept, Operations 01-200*-**-****
Intermediate Corporate Actions Clerk
• Acquired advanced knowledge on corporate actions reports through European research software (Telekeurs) which increased my efficiency.
• Monitored physical securities send to European custodian on a weekly basis to maintain account stability.
• Controlled and maintained a monthly list of bond maturities due for redemption on AS/400.
• Consistently respected time limits of annual shareholders meetings.
• Enter and record monthly Net Asset Value (NAV)
• Prepared and submitted NRA Tax Allocation on U.S. stock dividends resulting in U.S Tax deduction in client account.
MacDougall MacDougall & Mactier
Stock Brokers
Sales Assistant (Contract) 04-200*-**-****
• Consistently met deadlines which directly contributed to customer satisfaction and loyalty.
• Demonstrated good communication skills working with accountants during busy tax season and generated year-end statements for their review.
• Was assigned to many projects, which allowed me to learn all about multiple divisions within the company
• Preparation of detailed list of Bankers Acceptance and Bond maturities
• Purchase and sold Money Market and Bankers on a day to day tight timeframe. Investors Group
Financial Planning
Executive Administrative Assistant (Contract) 01-200*-**-****
• Responsible for opening new account and sending proper documentation for updating accountsProspected high net-worth client through cold-calling on a daily basis.
• Addressed sales staff of future meetings on outlook.
• Coordinated financial planning seminars with Division Manager. Berkshire Investment Group
Financial Planning
Marketing Assistant (Contract) 03-200*-**-****
• Implemented a client data base through the Cole Directory.
• Prospected high net-worth client through cold-calling on a daily basis.
• Established and coordinated a one on one meeting with client and financial planner.
• Recognized by my manager and colleagues as being very efficient, having a good sense of priority and initiative
CIBC Wood Gundy
Sales Assistant 09-200*-**-****
• Established special instructions for processing Via Tops Line to Toronto Office
• Opening new Accounts/following up on proper documentation for head office
• Validated and verified daily equity orders on OSS, fixed income and Mutual fund orders on AS/400
• Informing Financial Advisors of new issues coming in. Midland Doherty/Midland Walwyn/Merrill Lynch Canada 02-198*-**-**** Branch Administrator
• Assured the weekly follow-up of missing documentation for Senior Management, resulting in time saving for team brokers and head office.
• Validated and verified daily equity orders on OSS, fixed income and Mutual fund orders on AS/400
• Coordinated closely with brokers on setting up seminars to generate and improve client relations.
• Working closely with US Exchanges on Commodity Contracts
• Reporting filled contract orders to commodity brokers on a timely basis and finally reporting confirmation to appropriate client
• Worked with Toronto Office on processing and adjusting commodity orders accurately Education
Secondary V Diploma
Certificate of Completion Office Administration
Certificate of Completion in Telephone Banking Training (Outbound) Canadian Investment Fund Course(Completed)
Professional Training
ADP, Spectra Funds/Spectra Equity/Spectra Fixed income, AS/400, Croesus, Dataphile, Reuters, OSS, Access, Coins, Word, Outlook, Lotus Notes, Excel, Bloomberg Saleslogics, Accpacc, Coins,AST, Global Operations, Portfolio Plus Thomson Reuters Quote System, Salesforce,Actimize and Oasis.
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