Anna Chan Email & Phone Number

Edmonton, Alberta, Canada

Edmonton, Canada Area

•Assisting with maintaining the Compliance department’s inventory of internal controls and procedures.•Coordinating with other AIMCo departments in gathering policies and initiate the formal policy review•Maintaining and reviewing AIMCo employee’s personal trading activities•Assisting the weekly monitoring on firm's trading activities to ensure compliance with applicable regulations and internal policies and guidelines

Edmonton, Canada Area

· Support two portfolio managers with equity trading and portfolio management· Execute equity, derivatives, funds transactions for clients· Provide administrative support on account applications, license renewal, client meetings· Generate and analyze periodic reports for advisors to review· Review day to day activities to ensure compliance with industry regulations

Edmonton, Canada Area

· Support three relationship managers with wealth management and banking duties· Assist with loan structuring proposals and presenting cases to the lending adjudication department for approval· Ensure lending and wealth management practices are conducted according to the bank’s guidelines and industry regulations· Liaise with third parties such as solicitors, appraisers, insurance companies to complete lending deals· Review and resolve transaction exceptions with internal departments and external clients

Edmonton, Canada Area

· Execute equity, derivatives, funds transactions for clients· Analyze trades to ensure clients’ assets satisfy margin requirements· Identify and recommend various wealth products based on the customers’ needs