Anne Griffith Email & Phone Number

Calgary, Alberta, Canada

Reporting to the Manager of Operations, I am responsible for leading a small team of Operations Administrators in daily tasks as well as maintaining account administrative services to the Private Services Group.

Ottawa, Canada Area

• Prepare all client account documentation
• Develop & maintain excellent knowledge of PWL’s Operations department processes
• Develop & maintain excellent knowledge of IIROC requirements for brokerage account maintenance
• Be the team’s point of reference for account opening documentation requirements
• Ensure the accuracy of client information in our database
• Prepare and deliver statements, reports, and tax documents to clients

Ottawa, Ontario, Canada

• IIROC licensed
• Work directly with 3 Investment Advisors
• Organize meetings and conferences and prepare all required documents for the meetings
• Manage the Investment Advisors agendas including scheduling appointments and meetings with clients and business partners
• Manage all incoming emails and/or calls and ensure a timely response

Place Ville Marie, Montreal Qc.

• Replace the team leader while they are away Oversaw the transition of the Quality Control Department from Toronto to Montreal
• Learned a number of different tasks and procedures in order for Quality Control to run successfully within Montreal
• Successfully reduced the amount of work that was 2 weeks overdue to being on schedule
• Managed client and account information within ADTS system
• Managed secondary review phase to highlight documents that were erroneously approved by the documentation analysts in an effort to continuously improve approval process
• Number of documents reviewed per day increased by over 200 once Quality Control moved to Montreal

Place Ville Marie, Montreal Quebec

• Reviewed various account opening documents, that have been submitted by RBC branches across Canada, to ensure for data accuracy and completeness
• Evaluated approximately 200 documents a day, often exceeding the required performance target of 140 documents
• Provided clear and concise written instructions to branches when a form was completed incorrectly, in order to avoid future errors
• Assessed account opening documents such as KYCs, Power of Attorneys, Trusts, Estates, Court Orders, QI documents, CAFP1s, Resolutions, etc.
• Reviewed new investment forms, such as PH&N account opening documents
• Trained colleagues on how to review PH&N account opening forms

Conduct And Practice Handbook, Finance, General

Canadian Securities Course, Finance, General

Bachelor Of Arts, Environmental Studies 2005

Social Sciences

Certificate Of Achievement, The Outstanding Administrative Assistant