Carol Todd Email & Phone Number

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Mississauga, On

Supervisor, Transfer Agency Operations • Effectively managed 8 to 12 staff members including coaching, mentoring and workflow supervision• Monitored performance of team and ensured staff were current on policies and procedures• Monitored teams queues to ensure department SL’s were met• Liaised with auditors for internal/external audit including sample collection, review and analysis with the auditors• Worked closely with other teams and provided assistance where needed• Worked offshore with our vendor TCS to assist in improving productivity and reducing risk especially during peak season• Managed team scheduling (Translations, Processing requests, SME’s)• Assisted in recruitment cycle by conducting interviews and provided recommendations on short list of candidates• Monitored/provided confirmation of completion of AML review to internal and external clients• Managed the handling of FATCA including reviews of NADD, PADD and CIC.• Conducted weekly screening for Sanctions and Politically Exposed Foreign Persons including reporting internally and externally to Compliance departments

Mississauga, On

Securities Processing Rep, Transfer Agency Operations • Reviewed/Revalidated incoming requests to ensure documentation is complete and met authorization requirements• Responsible for 11am time sensitive report to ensure accuracy and reduce possible compensations to the department• SME for TCS staff including email communications and calls where needed• Participated in conference calls with TCS Management to provide feedback and recommendations regarding TCS staff• Responded to any queries or concerns TCS staff may have• Assisted with RCSA testing including sample collections, review and analysis with the auditors• Reviewed, validated, and vetted performance metrics for all staff to assist with action plans• Partnered with the Training Department to add and amend procedures• Fully trained on all transactions including Registered products as well as Specialized teams

Mississauga, On

Team Leader, Transfer Agency Operations • Led group of between 15 to 35 staff members including coaching, mentoring and constructive feedback• Conducted monthly one on one meetings with staff to review performance metrics• Monitored, redirected and cleared the Queues to ensure all items were completed by End of Day• Provided backup support for Supervisor including compiling metrics, provided feedback as well as report generation• Provided Supervisor with recommendations for additional cross training and/or in-class training for high performers• Kept staff informed of updated or new policies and procedures• Partnered with the Training Department to make recommendations on any concerns that staff may have• Formally trained as a Coach to ensure consistent performance within the team• Provided positive and constructive feedback to staff with intention to improve performance• Conducted team huddles when necessary to provide updates• Cage Department (mail room) – pilot project to increase cross training and improve efficiency• Opened and sorted incoming mail and batched all documents for scanning• Indexed items into the workflow system received via fax