Francis N. Ha's Location
Toronto, Ontario, Canada, Canada
About Francis N. Ha
I am a seasoned Client Onboarding Specialist with 13+ years of relationship management, business development, risk management, and leadership experience in the financial services industry. Recognized for demonstrating a natural aptitude for applying risk analysis strategies to mitigate potential financial and operational risks, as well as for establishing successful employee leadership techniques to build high-performing teams. Professional focal points include research and data analysis, communication skills, and the ability to adapt to ever-changing situations in a fast-paced environment. Delivering superior administration in these areas of expertise requires the utilization of effective business and financial acumen, and a keen eye for detail, as well as change management, strategic planning, stakeholder and client relations, cross-functional collaboration, process optimization, investment concepts, and client integration expertise.My recent role is a Senior Client Integration Manager, Client Experience Canada with RBC Investor Services Trust. Under my leadership I have utilized my vast industry experience to orchestrate the seamless onboarding of new and existing clients, oversaw daily operations, and managed the account opening processes across all technology platforms. I was responsible for delivering support and recommendations for process improvements, oversaw marketing operations, led and developed teams, and effectively enhanced productivity while maintaining strong professional and employee relations to encourage success. Colleagues describe me as a progressive, driven, down-to-earth, client-centric, and managerial expert who can be relied on to offer superior solutions that deliver profitable results on time with minimal risk.
Francis N. Ha's Current Company Details
Client Onboarding Specialist, Client Integration, Relationship Management, Business Development, Risk Management
Francis N. Ha Work Experience Details
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Senior Client Integration Manager, Client Experience CanadaRbc Investor Services Mar 2022 - Aug 2024Toronto, Ontario, Canada• Oversaw the account opening process and fund setup across all technology platforms, including client reporting setup via sFTP, online reporting, or other agreed diffusion methods, and conduct any necessary system testing (e.g., trade file instructions).• Implemented requests from the Client Change and Onboarding management team to support the global standardization and execution of the global operating model.• Facilitated the smooth onboarding of new and existing clients through effective coordination and management of all activities.• Delivered post-onboarding support for internal teams, third parties, and client inquiries, and contributed to transformation programs aimed at enhancing the digital client journey for improved client experience.• Succeeded in operating within the organization's global operating model and adhered to the defined risk framework to optimize operations and minimize potential risks. • Accountable for confirming that all required artifacts are completed to a high standard, update transition status weekly, and maintained the quality of updates.• Assisted the sales process by presenting the client onboarding approach and demonstrated expertise in this area. -
Associate, Client Onboarding Specialist, Client Experience CanadaRbc Capital Markets Jun 2021 - Jan 2022Toronto, Ontario, Canada• Managed the onboarding of institutional clients, focusing on integrating Canadian clients into RBC locations globally.• Directed client lifecycle projects from inception to completion across regional functional teams (KYC, AML, Legal, Operations, IT, Credit, Documentation, Risk) to ensure a seamless and efficient client and sales experience.• Updated and maintained desktop procedures in an accurate and timely manner in response to process changes, ensuring compliance with firm policies (e.g., Global Client Onboarding Procedures, KYC/AML).• Supported diverse business needs as directed by the reporting manager, including strategic or regulatory initiatives, projects, and documentation of policies and procedures.• Reported on onboarding progress to business stakeholders, providing transparency and enhancing client service while identifying areas for improvements. • Detected operational risk before they arose and controlled deficiencies, addressing risk loss events accordingly to reduce potential issues. • Employed analytical skills to discover and implement innovative opportunities for process enhancement, streamlining, and automation. -
Senior Client Onboarding Manager, Client Experience CanadaRbc Investor & Treasury Services Feb 2019 - Jun 2021Toronto, Canada Area• Orchestrated and managed onboarding activities for both new and existing clients, onboarding a total of 100+ institutional clients during tenure.• Championed the account opening process, fund setup, and client reporting across diverse technology platforms, ensuring smooth system testing and implementation.• Executed post-onboarding support for internal, third-party, and client inquiries, actively contributing to digital transformation programs aimed at enhancing the client experience.• Implemented requests from the Client Change and Onboarding management team to facilitate global standardization and implementation of the operating model.• Guaranteed thorough completion of all essential artifacts, delivering weekly updates on transition status to a superior standard.• Spearheaded the sales process by presenting innovative approaches to client onboarding, showcasing extensive experience in the field.• Enforced adherence to agreed timelines, steering clients and internal stakeholders towards smooth and punctual project delivery.• Presented subject matter expertise to business teams on specific local applications, seamlessly integrating with BAU workload for Client Change and Onboarding.
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Manager, Tax Documentation & Aeoi ReportingRbc Investor & Treasury Services Aug 2017 - Feb 2019Toronto, Canada Area• Headed all activities related to QI, FATCA, and CRS account documentation for RBC Investor Services Trust and Royal Bank of Canada custody accounts.• Oversaw compliance with tax documentation and QI renewal processes on all custody platforms, meeting prescribed deadlines consistently.• Engaged in the regulatory environment governing QI, FATCA, and CRS, contributing to client projects to address documentation and account coding issues comprehensively.• Complied with all regulatory and audit requirements, achieving fully satisfactory outcomes in both internal and external audits/reviews concerning documentation.• Addressed and acknowledged all inquiries within agreed SLA standards, following protocols when contacting clients via email or phone.• Formulated processes and procedures to mitigate operational risk, reduce costs, and uncover opportunities to enhance operational efficiency.• Examined, validated, and upheld all QI, FATCA, and CRS documentation (IRS forms, self-certifications, and documentary evidence) to ensure compliance with IRS/IGA guidelines, maintaining completeness, accuracy, and acceptability.• Verified the accurate completion of FATCA and CRS reporting within regulatory timelines.
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Supervisor, Global Proxy ServicesRbc Investor & Treasury Services Feb 2017 - Aug 2017Toronto, Canada Area• Supervised and led a team of three employees and nurtured a culture of collaboration, fostering a cross-functional and international mindset that prioritized client interests over individual and business agendas.• Provided oversight, direction, and support to the Global Proxy team within Entitlements, serving as a liaison between custodians, traders, vendors, and internal groups on Corporate Actions, Proxy, and Fixed-Income activities.• Minimized errors and omissions, ensuring non-repetitive occurrences through the review and monitoring of staff errors/oversights, recommending solutions and controls for elimination or reduction.• Aided the management team in ensuring the successful delivery of products, escalating and resolving high-exposure items while maintaining a balance of cost, control, and client service, upholding proper standards and controls.• Performed gap analysis of existing workflows to identify areas of risk, and implemented new procedures as needed to mitigate risk within the department.• Contributed to the evaluation of the effectiveness of Global Proxy controls and tolerances, ensuring accurate documentation and updating of procedures and processes.
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Senior Corporate Actions AdministratorRbc Investor & Treasury Services Jun 2016 - Feb 2017Toronto, Canada Area• Pioneered all Corporate Actions processing activities for both mandatory and voluntary events, encompassing domestic and international securities and markets.• Directed, supported, and provided oversight for the Corporate Actions team, serving as a liaison between custodians, traders, vendors, and internal groups on Corporate Actions, Proxy, and Fixed-Income activities.• Reduced errors and omissions by reviewing and monitoring staff errors/oversights and suggesting solutions and controls to eliminate or reduce recurrence.• Played a crucial role in evaluating the efficiency of Corporate Actions controls and tolerances, ensuring precise documentation and continuous updates to procedures and processes.• Evaluated and reconciled daily cash and asset reports to mitigate internal risks, promptly documenting and resolving any discrepancies upon discovery, while recording monthly and daily statistical data for management and executives.• Secured timely and accurate posting of all Corporate Action transactions in the system, simultaneously ensuring prompt communication of voluntary Corporate Actions to affected clients.• Partnered closely with the management team to ensure the proper delivery of products, escalating and resolving high-exposure items while balancing cost, control, and client service and upholding proper standards and controls.
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Supervisor, Entitlements ProcessingRbc Investor & Treasury Services Oct 2015 - May 2016Mississauga, On• Handled all Entitlements processing activities for domestic and international securities and markets.• Acted as a liaison between custodians, traders, vendors, and internal groups on Corporate Actions, Proxy, and Fixed-Income activities, overseeing, directing, and supporting the Entitlements team.• Accomplished supporting the management team in ensuring proper product delivery, escalating and resolving high-exposure items while maintaining a balance of cost, control, and client service, and upholding proper standards and controls.• Granted procedural and technical support to employees, ensuring accuracy and timeliness of all Corporate Actions, Proxy, and Fixed-Income activities while mitigating risk.• Effectuated the delivery of service commitments to clients' satisfaction by ensuring accurate and timely completion of all work functions.• Continued monitoring of all outstanding entitlements to verify the completeness of each account, executing claims as required.• Nurtured relationships between the group and key internal departments to balance service, risk, efficiency, and staff well-being effectively.• Enhanced the productivity of the Department through staff training and development activities such as timely performance reviews, effective scheduling during high volume periods, addressing areas of development, planning for vacations, absenteeism, and staff turnover, and applying Human Resource policies and procedures.
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Senior Corporate Actions Administrator (Team Lead)Rbc Investor & Treasury Services Jul 2012 - Oct 2015Toronto, On• Chaired all Corporate Actions, research, and processing activities for both mandatory and voluntary events across domestic and international securities and markets.• Delegated, managed and supported the Corporate Actions team, serving as a liaison between custodians, traders, vendors, and internal groups on Corporate Actions, Proxy, and Fixed-Income activities.• Mitigated errors and omissions by reviewing and monitoring staff errors/oversights, and proposed solutions and controls to eliminate or minimize their recurrence.• Backed up the management team in ensuring proper product delivery, escalating and resolving high-exposure items while maintaining a balance of cost, control, and client service and upholding proper standards and controls.• Scrutinized operational outputs of team members, ensuring a 100% accuracy rate on Corporate Action activities, including announcements, client instructions, and payment postings.• Participated in evaluating the effectiveness of Corporate Actions controls and tolerances, ensuring accurate documentation and updates to procedures and processes.• Exhibited timely and accurate posting of all Corporate Actions transactions in the system, while ensuring timely and accurate communication of voluntary actions to all impacted clients.
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Senior Income AdministratorRbc Investor & Treasury Services Aug 2011 - Jul 2012Toronto, On• Responsible for the execution of all activities related to trade settlement operations in global markets for all client segments.
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Customer Service RepresentativeCibc Jul 2010 - Aug 2011Vaughan, On• Created positive client experiences by understanding and meeting service transaction needs quickly, professionally and accurately.
Francis N. Ha Skills
Team Leadership
Corporate Actions
Risk Management
Risk Assessment
Operational Risk
Risk Analysis
Quality Control
Research
Entitlements
Customer Service
Microsoft Office
Teaching
Innovation
Income
Global Custody
Interpersonal Skill
Financial Services
Francis N. Ha Education Details
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Accounting And Finance
Frequently Asked Questions about Francis N. Ha
What is Francis N. Ha's role at the current company?
Francis N. Ha's current role is Client Onboarding Specialist, Client Integration, Relationship Management, Business Development, Risk Management.
What schools did Francis N. Ha attend?
Francis N. Ha attended Humber College.
What skills is Francis N. Ha known for?
Francis N. Ha has skills like Team Leadership, Corporate Actions, Risk Management, Risk Assessment, Operational Risk, Risk Analysis, Quality Control, Research, Entitlements, Customer Service, Microsoft Office, Teaching.
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