Review and coordinate the approval of all client and public-oriented advisor sales communications including but not limited to advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media, and other digital advertising.Maintain an exemplary service to Assante Advisors by educating and supporting them and their staff on regulatory and internal policies & and procedures, and ensure that their initiatives are consistent with Assante business and brand standards.Ensures that advisors implement required revisions and approval is secured prior to print or electronic dissemination.Acts independently to conduct relevant research and arrive at conclusions and/or Conducts compliance review in a high-quality, risk-based manner.Proactively identifies, investigates, resolves, and/or escalates any actual and potential violations of regulatory requirements and internal policies and procedures as they concern creating risk for the advisor, Assante dealers, and the integrity of the Assante brand.Strives to minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.Liaises with internal departments for business, design, and branding review in a professional and collaborative manner.Communicates with advisors in a timely and professional manner, and effectively provides direction and recommendations on the appropriate corrective action.Works closely with other Compliance Officers and Compliance Management to secure approvals.Maintains accurate internal files and complete records for review and reference in a regulatory and internal audit setting.Maintains a high level of awareness of compliance-related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc

I work with clients to assess their risk tolerance and needs. Prepare correspondence, documentation, and presentations for new and existing clients. Provide quotes, execute trade orders and transactions. Schedule and conduct meetings. Verify and correct any errors or omissions in daily transaction summaries; Resolve inquiries and coordinate responses with other branches and departments as necessary. Work with the Branch Manager and Corporate Compliance to ensure client and branch compliance in accordance with IIROC rules and regulations.

Investment Specialist Managed client relations to ensure an effortless investment experience. Ensured adherence to IIROC rules and regulations. Discovered, recognized, and acted on opportunities that allowed clients to achieve their financial goals and expand business relationships. Effectively resolved client concerns and challenges. Selected Contributions:Recognized as a dependable team member specific to punctuality, accuracy, and efficiency in processing and addressing client situations and transactions. Achieved a customer satisfaction rating of 90%.

In this role with National Commercial Bank, I managed aspects of assessing and assuring quality controls and processes were in place to deliver superior services based on customer needs. I worked collectively with the Service Quality Analyst to monitor associate calls and provide feedback based on interactions. Additionally, I identified key training opportunities based on visual observation, customer insights and employee feedback to develop the necessary training to improve employee skills and increase customer satisfaction. A few key contributions while in this role includes:⇨ Developed a recognition program that improved employee engagement. ⇨ Created a company newsletter to communicate information to employees on company happenings and industry trends. ⇨ Improved call quality score to over 95% by designing and executing a call assessment guide to address staff shortcomings and resolve customer complaints quickly and efficiently. ⇨ Collaborated with senior management to improve staff performance to over 92% by effectively developing training programs and implementing performance improvement plans.

While in my role as the Quality Assurance Officer, I oversaw the workflow of inbound and outbound calling procedures to ensure optimal productivity while monitoring agents call quality to meet guidelines and regulations. I assisted in areas of human resources which included creating job descriptions, screening candidates, participated in the interview process and training and onboarding for new employees. Developed performance plans and strategies for improvement in regards to daily performance and escalated customer issues. Additionally, I prepared staff schedules, facilitated team meetings, and met with senior leaders to discuss budget planning and objectives for the organization monthly and annually. A few key contributions while in this role includes:⇨ Successfully trained, coached and mentored agents by genuinely caring and fostering an open door policy with all team members resulting in achieving over 92% call quality rating and a 3 second average speed of answer. ⇨ Recognized for superior performance by being awarded the Supervisor of the Quarter and Supervisor of Choice in 2010, 2011 and 2012.

As a Customer Care Agent, I worked closely with customers answering questions related to bank products and services, as well as being an evening supervisor that directly managed 10 customer care team members. I analyzed data and statistical reports to offer recommendations to upper management related to quality controls. Collaborated with internal departments and referral sources to generate leads and initiate sales.A few key contributions while in this role include:⇨ Coordinated workflow and agent scheduling ensuring that customer calls were answered with in three seconds and 95% productivity was achieved during each shift. ⇨ Recipient of Agent of the Quarter (twice) and Top Agent of the Year (2008).