>Executed and performed due diligence on various trade orders, including equities, options, mutual funds, foreign market trades, OTC, and GICs.>Took client instructions on corporate actions of securities and provided detailed explanations of reorganization documents.>Stayed up-to-date with investment market practices and trends, incorporating insights into professional client conversations.>Adhered to comprehensive risk and compliance policies to ensure client security and regulatory adherence.>Assisted clients with internal and external account transfers (ATON and Non-ATON) and provided support for other investment account-related services.

• Improved regulatory compliance by conducting thorough monitoring and analysis of data quality, resulting in zero regulatory non-compliance incidents.• Partnered with wealth associates to build portfolios for high-value clients with a net worth exceeding aiding in the growth of wealth partners' books.• Increased client satisfaction scores from 85%+ by utilizing time-saving automation tools and providing quality advice, creating significant impact and value for clients' banking needs.• Comprehended and fulfilled clients' needs relating to opening personal deposit accounts and small credit products, guiding them to the appropriate financial partners for more complex needs while exercising excellent judgment in confidential matters.• Supported the customer experience staff by resolving basic issues and escalating non-standard matters to executives.• Assisted in building a positive and equitable workplace by actively engaging in personal development and sharing industry knowledge to achieve common goals

> Reduced Wait Times Implemented an efficient queuing system that reduced average customer wait times at checkout by 30%, enhancing the overall shopping experience.>Enhanced Customer Satisfaction Achieved a 95% customer satisfaction rating by consistently providing friendly and helpful service, addressing customer concerns promptly, and ensuring a pleasant shopping environment>Resolved Complex Issues Successfully handled and resolved over 95% of customer complaints and inquiries on the first contact, minimizing the need for escalation and improving customer retention.>Increased Efficiency Streamlined the returns and exchanges process, reducing average processing time by 40%, resulting in quicker resolutions and happier customers.

• Providing support in the submission of marketing materials relating to US broker-dealer business • Review daily email communications preparing periodic reports and escalations as necessary • Special reports and initiatives as assigned, including backing up the team and providing additional coverage as needed • Ensuring appropriate records are maintained in relation to compliance monitoring • Maintaining portfolio for clients and advice on investments.

• Perform trade verifications with internal counterparties to ensure payments are settled as scheduled to minimize risk. • Nurture strong, long-standing relationships and build comprehensive financial plans. • Supporting the portfolio management team in general administrative duties in the management of client accounts. • Following up on client trades to ensure proper settlement and delivery