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

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.

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'.