Senior Dealer Services Associate Domestic Transfer AgencyInitiating and receiving e-mails and telephone calls both internal and externalMaintaining a massive Dealer/Rep databaseProducing system generated reports upon requestCollaborating with associates to resolve or escalate problem issuesCreating procedural documents for training purposesCoordinating the reinstatement of failed wire tradesProficient in Microsoft Word, Excel, Power Point and PDF documentsProficient in the use of internal systems such as AWD (Automated Work Distributor) and I-Fast Problem Resolutions Associate Domestic Transfer AgencyObtaining dealer instructions in good order following rejectionsResearching and resolving issues for all account transactionsFollowing through with relevant departments to completionContact Centre Associate Domestic Transfer AgencyAnswering queries, resolving issues and redirecting calls where necessaryAccount Coordinator Domestic Transfer Agency Brandes Dedicated TeamPreparing compliance reports for auditCorrecting outstanding, unsettled or error tradesIdentifying new advisors added to the system from the previous business dayUpdating Brandes’ dealer database for dealers, branches and advisorsProcessing financial and non-transactions for all client accountsReceiving and processing or resolving specific requests from BrandesProcessing Institutional trades of cloned funds for foreign RSP investmentProviding call centre coverage for Brandes and other IFDS clients when their call centres unavailable

Senior Mutual Funds OfficerReconciling all transactions between TD Waterhouse and non automated fund companies. Maintaining spreadsheets and compiling daily reports.Researching and submitting prices and compiling a monthly capitalization report for submission to the Investment Dealers Association (IDA)Complete reconciliation of all client transactions including purchases, redemptions, switches, internal and external rollovers, external broker transfers-in and transfers-out, registration, dividend reinvestment plans, capital gains and management fee rebatesCommunicating with fund companies to secure client information and resolve transaction discrepanciesOperating various systems as an aid to reconciliation including ISM, Microsoft Word, Microsoft Excel, Microsoft Outlook and Optech and researching client statements on CD Rom, Optifiche and through Microsoft Internet ExplorerReconciliation OfficerComplete reconciliation of all client transactions including transactions include; purchases, redemptions, switches, PAC’s, SWP’s, internal and external rollovers, external broker transfers-in and transfers-out, registrations, dividend re-investment plans, capital gains and management fee rebatesCommunicating with fund companies to obtain client and transaction information and to resolve discrepanciesCompleting all manner of entries to the clients’ accounts and resolving discrepanciesOperating various systems as an aid to reconciliation, including ISM, fundSERV, Baycom, Recap, SQL, Microsoft Works, Microsoft Excel, and SQL Optech and researching client statements on CD Rom, Optifiche and through Microsoft Internet Explorer

Updating all stock information through data entry using Pegasus stock control softwarePreparing and issuing monthly reportsAll stock taking, ordering and receiving of spares used in servicing Canon fax machines and photocopiersHiring and dispatching couriers for delivering spares to the service engineers in the fieldLending complete support to all service engineers

Receiving and categorizing reports for delivery to proper departmentsPhotocopying reports and preparing trade reports for copy typistsSending physical equities to the Central Distributing AgencyMaking telephone enquiries to other Brokers regarding unsettled tradesResearching client account information using the ELTRA software system or by telephone Deleting non-existing or previously settled trades and setting up current trades using ELTRACompleting contracts and receiving physical equities for Central Stock FilingIssuing cheques in lieu of failed deliveries