Emily Pham Email & Phone Number

Vaughan, ON, CA

Toronto, Ontario, Canada

Toronto, Ontario, Canada

• Effectively manage all operational activities for Cash Collateral Settlement services, ensuring accurate and timely settlement of monthly interest.
• Successfully resolve over 1,000 pending aged items within a two-month timeframe, achieving a 90% reduction in backlog and demonstrating efficiency and dedication to timely issue resolution.
• Foster a customer-focused culture to enhance stakeholder relationships and provide excellent service to external clients.
• Utilize a strategic and analytical mindset to conduct in-dept investigations and detailed analysis on item errors, showcasing proficiency in identifying root causes and effectively resolving issues.
• Analyzing current settlement processes, procedures and reports to implement process improvement.

Toronto, Ontario, Canada

• Effectively managed trades, redemptions, subscription closes and transfer lifecycle; ensure timely settlement of all Fund-to-Fund Alternative Investment.
• Assumed leadership role in weekly management meetings; actively contributing by preparing agendas/minutes, and diligently following up on actions items.
• Served as a proactive liaison between Transfer/Redemption team and front office/ Financial advisors, exhibiting excellent communication and relationship building skills to ensure accurate client account management.
• Showcased exceptional organizational skills by monitoring workflow and prioritizing unresolved matters that caused backlogs and delays.
• Displayed leadership abilities by training and mentoring a team of 20+ employees on transfer processes, resulting insignificant performance improvement of 20% month over moth.
• Drove process optimization initiatives by working collaboratively towards establishing efficient transfer and redemption processes, leveraging strong organizational skills to enhance team workflows.

Toronto, Ontario, Canada

• Played a key role in the PTC KYC date remediation project for US and Canada based regulations such as CFTC, OSC and OSFI, etc.
• Conducted rigorous Quality assurance checks and provided support for valuation activities on KYC and clients onboarding processes, resulting in a 95% accuracy rate and adherence to regulatory reporting regimes.
• Analyzed and reviewed client’s accounts to ensure strict adherence to evolving Dodd Frank and CanDer regulatory requirements.
• Consistently exceed project and client’s expectations as a top performer, achieving over 30% of daily targets, while maintaining high efficiency and accuracy.
• Analyzed regulatory documents to identify potential reporting gaps, mitigating the risk of under or over-reporting to the CFTC/NFA, resulting in improved compliance and avoidance of penalties.
• Provided valuable guidance to the team based on extensive knowledge of KYC, AML, and Doff Frank regulatory compliance, improving overall team performance and efficiency.

Toronto, Ontario, Canada

• Led the onboarding process for confidential clients by effectively capturing information in the in-house system, ensuring seamless integration and fostering strong client relationships.
• Ensured strict compliance and adherence to firm policies, procedures and regulatory guidelines, including KYC, FACTA, AML procedures, in alignment with privacy laws, money laundering and fraud mitigation.
• Set up clients’ meetings, developed portfolio-based reporting which helped clients and relationship managers to get a good understanding of their current financial situation
• Supported portfolio managers with account statements and trade related paperwork, financial plans, and completion of applications for insurance and other financial products.
• Proactively addressed clients’ inquiries and concerns, promptly resolving issues and maintaining consistent service standards.
• Served as a proficient liaison between portfolio managers and various operational departments, fostering effective communication and coordination across teams.

Toronto, Canada Area

• Managed and filed taxes, financial reports, regulatory reporting documentation to regulatory authorities such as CRA.
• Processed semi-monthly payroll and administration work, as well as responsible for financial reporting.
• Prepared various reports and performed data reconciliation activities to support payroll and finance teams.
• Ensured all employee data used for payroll purposes was complete, including ROE statements and T4 reports.
• Performed corporate accounting functions including accounts payable, accounts receivable and vendor management.
• Liaised with internal staff and clients to resolve all issues concerning payables and receivables discrepancies and questionable transactions.