Baldeep Chahal Email & Phone Number

Vancouver, British Columbia, Canada

BRANCH MANAGER SUPPORT➨ Work with the Branch Manager to ensure the smooth running of the branch on a day-to-day basis.➨ Respond to escalated inquiries from Investment Advisors & Assistants. ➨ Assist with the on boarding and supervision of Advisors and Assistants. COMMUNICATION ➨ Send out monthly newsletters providing ongoing communication to the retail team any news, new developments, changing regulations, and other related business received from corporate communication.➨ Analyze and review daily trade report and monthly employee trade review. ADMINISTRATIVE & CUSTOMER SERVICE ➨ Support clients in their account applications, general day to day administrative requests remaining calm and professional, working quickly to resolve issues to client’s satisfaction that results in customer loyalty.➨ Review and approve new accounts and account updates following industry rules and regulations.

Vancouver, British Columbia, Canada

ADMINISTRATIVE➨ Served as the gatekeeper for client calls assisting with account inquiries.➨ Worked with the Compliance Department to resolve the more complex inquiries that required additional support.➨ Assisted Branch Managers’ clients in executing trades, providing information, opening new accounts, coordinating and processing new issue deals, dealt with all dormant accounts. ➨ Liaised with various departments to assist IAs, IT, Operations, HR, Facilities for approvals, investigation and general requests.➨ Coordinated client events and presentations at the branch, including acting as the key contact with outside agencies. HIRING & ONBOARDING OF NEW STAFF➨ Collaborated with HR to interview and screen potential candidates for Investment Advisor Assistants and temporary staff.

➨ Co-ordinated and exercised all broker warrants and fee shares, including allocation of broker warrants and fee shares into inventories. Reviewed and tracked expiring warrants.➨ Processed commissions to Investment Advisors resulting from the sale of fee shares and warrant exercises.

Vancouver, British Columbia, Canada

➨Assisted in private placements, short-form offerings, and initial public offerings.➨ Co-ordinated selling group and syndication participation, i.e. Allocation, ticketing, mail outs, commission adjustments.➨Collected & reviewed subscription agreements for brokered & non-brokered private placements.➨ Carried out investigative and other due diligence related searches of companies and directors i.e. LexisNexis, employment and education verification.

Vancouver, British Columbia, Canada

New Accounts Supervisor – New Accounts (April 2001-February 2004)New Accounts (March 2000-April 2001)SUPERVISION➨ Assisted in recruiting, interviewing and training new staff within the new accounts department. ➨ Supervised 14 employees within the new accounts department. ADMINISTRATION➨ Reviewed new account documentation for adherence to compliance policies and procedures.➨ Contributed to the writing of training manuals on policies and procedures.➨ Resolved account opening and setup related issues for Investment Advisors. ➨ A vital member of a series of special projects including Conversion from ISM to Dataphile system and new Electronic Document Management System. Also trained coworkers on new EDMS program.