Barbara Smith Email & Phone Number

Ancaster, Ontario, Canada

Administrative Assistant to Several Financial Advisor’s at Branch office• Process daily trades, stocks, mutual funds and GIC’s • Open new client accounts • Ensure account documentation in good order • Follow up with back office and mutual fund companies with reference to trades, DSC schedules• Book meetings with clients for the advisor• Prepare update of client portfolio in excel for client meetings• Review all correspondence prior to mail out• Maintain client files

Toronto, On

• Managed projects and initiatives as they related to volumes and work processes for estate, specialty products and trust services• Contributed as an active member of the Investment Funds Institute of Canada (IFIC) estates working group to produce estate documents available to all institutions to rationalize and standardize operations.• Trained front-line staff on estate, specialty products and trust services.• Coordinated and supported year-end functions and CCRA reporting.• Ensured that the relevant expectations were established through the Year End Taxation Calendar to all advisors and assistants with defined deadlines.• Provided excellent customer service to internal and external clients regarding procedures and estate documentation requirements. Resolved escalated issues when required. Built strong relationships with advisors in field.• Ensured tax reporting on estate accounts was prepared in accordance with the Income Tax Act.• Provided continued back-up regarding requirements to pay, bankruptcy and hardship withdrawals. Reviewed court orders and liaised with legal when necessary. Conducted research as required for these issues.• Reviewed all estate documentation received and provided approval to proceed with settlement. As necessary, consulted with internal and external legal counsel.

North York, On

• Advised clients about requirements to settle estate accounts. Reviewed estate documentation received and proceeded with settlement. Consulted with internal and external legal counsel, as necessary.• Prepared year-end relevant tax forms for estate settlement• Reviewed and acted upon documents received pertaining to assignments, court orders, bankruptcies and requirements to pay.• Reviewed incoming powers of attorney, corporate resolutions and dealer trading authorizations to ensure the documents were acceptable to and conducted research as required.

North York, Ontario

• Handled inbound call center enquires from employees of plan sponsors with group pension plans.• Educated plan sponsor employees on investment products within their retirement plan.• Educated plan sponsor employees on the benefits of retirement investing. Assisted in problem resolutions regarding group pension plans.• Liaised with corporate clients to produce information guides explaining their plan details to their employees.• Delivered PowerPoint presentation to groups of 10-30 plan members explaining benefits of RSP and/or pension investments.

North York Ontario

• Responded to inbound call center enquires from dealers, reps and plan holders.• Confirmed compliance with rules and regulations.• Dealt with Inter Provincial account compliance: T1036 First time homebuyer withdrawals, T2033 Transfers, T3012 Excess Contribution, T2220 Marriage breakdown transfers, T2151 Pensions transfers., RRSP/LIRA/RIF/LIF/LRIF' s, In Trust Accounts, RESP.