Eliza Valerio
Orangeville
Summary
Over 10 years of professional experience in the financial services industry. Direct experience working as an executive/administrative assistant; providing friendly, courteous and confidential service to clients and prospective clients. Intermediate level PC Skills, notably Microsoft Outlook, Word, PowerPoint and Excel. Experience performing various data entry and administrative support tasks (can type over 100 words per minute). Extremely analytical, organized and detail-oriented in all aspects of assigned responsibilities. Able to communicate effectively and make difficult judgement decisions in times of stress or high pressure. Effective multitasking and time management skills and able to take initiative in a fast paced team environment, while juggling tight deadlines and handling multiple projects. Always striving to achieve a high level of excellence in all aspects of professional duties and responsibilities. Exceptional ability to anticipate and identify possible issues in the early stages. Takes initiative and requires minimal direction/supervision. Excellent command of the English language, verbal and written. Passionate about always providing exceptional top notch client service. Recently nominated and recognized as part of Worldsource’s International Women’s Day recognition program.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Manager, Client Services
First Capital Financial
11.2024 - Current
- Supervising staff including overseeing and auditing completed work
- Delegating tasks to staff while defining clear targets and objectives to team members
- Managed and motivated employees to be productive and engaged in work.
- Importing data into CRM software (Salesforce)
- Maintaining data in CRM to ensure information is always up to date
- Tracking new business in the database
- Coaching and training new associates
- Cross-training new and existing employees to maximize team agility and performance
- Accomplishing multiple tasks within established timeframes in a fast paced environment
- Developed Standard Operating Procedures (SOPs) to minimize errors and create repeatable processes
- Maintaining professional demeanor by staying calm when addressing unhappy or angry clients when issues are escalated
- Assisted in organizing and overseeing assignments, including leading team meetings, to drive operational excellence.
Senior Administrator & Executive Assistant
First Capital Financial
04.2018 - 11.2024
- Answered extremely high volume of phone calls and email inquiries/monitored advisor's e-mail inbox
- Completed all client paperwork including New Client Application Forms (NCAF), transfer forms, non-financial change requests, estate settlement documentation, letters of direction for client signatures
- Account maintenance (contact information updates, banking information changes) using Dataphile
- Financial account maintenance (PAC, SWP, RIF payments etc) using Dataphile
- Coordinated and booked a high volume of golf tee times for the advisor and their clients
- Completed Mutual Fund and Insurance License renewals for the advisor
- Errors and Omission (E&O) insurance renewals for the advisor
- Ensured annual Insurance premiums were paid on time
- Continuing Education (CE) Credit tracking for the advisor and ensuring all required credits were completed Mutual Fund trades (Buys, Switches, Rebalancing, Redemptions, Specialty Product transactions)
- Reviewed restricted accounts and outdated Know Your Client (KYC) reports on a monthly basis and took action to ensure accounts were unrestricted by compliance
- Quarterly statement generation for clients (over 400 statements) and sendout along with compliance-approved newsletter
- Collating tax packages for clients during tax time each year including RSP tax receipts, T-Slips, Fee Summaries
- Meeting preparation for advisor including generating statements, account summaries, insurance information and compliance details
- Coordinated and scheduled all meetings for the advisor over the phone, in person and via email, including client portfolio reviews, prospective clients, business partners, head office associates
- Received and distributed incoming mail as well as posting outgoing mail and courier packages
- Deposited client cheques to the bank and processed the linked deposit and trades
- Communicated with clients in person, over the phone and via email in a timely fashion and followed up on outstanding requests promptly
- Managed and kept up to date the advisor’s entire professional calendar
- Managing day to day operations of the office including balancing petty cash, ordering office supplies, administration of the phone system
- Followed up on client issues/complaints/requests and taking ownership from beginning to end
- Kept up to date on market conditions, fund company updates/changes and government legislations and how they relate to investment accounts
- Kept office operations running smoothly by providing effective leadership and administrative skills
- Generated financial and account reports detailing findings and recommendations
- Collected, arranged, and input information into CRM database system
Team Leader, Marketing Support
Assante Wealth Management
01.2016 - 04.2017
- Company Overview: head office
- Provided exceptional client service to MFDA and IIROC financial advisors and their assistants in person as well as over the telephone and via email
- Approved, rejected, reviewed completed necessary adjustments and corrections to marketing initiatives, as per regulatory compliance and branding guidelines, to ensure accuracy and adherence to rules
- Responded to marketing support team member’s questions and assisted with complex issues, including handling escalations from advisors
- Was responsible for reviewing and suggesting changes to the company branding guidelines and communicating the final changes to the branches in the field in order to provide a clear, consistent method of operations and guidelines to follow for marketing initiatives
- Coached team members as needed, including re-training, providing constructive feedback, creating cheat sheets and evaluating work as necessary
- Generated a multitude of reports on an ad hoc and scheduled basis, including manipulating and sorting the data and providing summaries to senior management
- Assisted with the onboarding of new team members, including orientation, systems training, teaching compliance/branding rules and support
- Created and updated reference guides for the team as well as the financial advisory branches, such as a marketing review guideline for financial planning rules, writing step-by-step procedure documents for new initiatives and systems and advising team members of new procedural/departmental changes
- Provided the appropriate guidance to team members to ensure that the advisors follow consistent rules and guidelines across the board
- Stayed up to date with current government rules and regulatory guidelines as they relate to marketing and compliance
Senior Marketing Approvals Coordinator
Assante Wealth Management
09.2012 - 12.2015
- Performed ongoing reviews of advisor and branch-led marketing/sales communications and materials for regulatory compliance and branding issues, to ensure that business objectives, regulatory requirements, branding and corporate image standards were maintained
- Reviewed and approved items such as print advertisements, seminars, client appreciation events, directories, e-newsletters, social media and website updates
- Communicated required changes to the advisors and their assistants via email or over the telephone depending on the time-sensitivity of the item, and presented the reviewed marketing pieces to the Marketing Approvals Team Leader for approval stamp-off
- Assisted advisors and assistants with ordering business cards, letterhead and envelopes and worked on custom requests
- Assisted with creating and implementing compliant marketing templates for the advisors to use across the board
- Escalated advisor concerns to the team leader or manager
- Responded to incoming email requests and inquiries via a central team marketing approvals inbox, and assisted with a variety of ad hoc issues/requests/questions in a timely fashion
- Assessed, printed and entered all new advisor marketing initiatives into the central marketing database and distributed them amongst the marketing support team for review
- Completed the data entry process of bi-weekly advisor commissions for marketing initiatives that were deemed eligible for dealer marketing support dollars
- Circulated corporate marketing pieces among internal departments for feedback and approval
- Reviewed and proofread corporate communications, which included suggesting changes and editing/marking up documents electronically and manually
- Performed rigorous testing for various projects, such as the new advisor website tool and stationery builder
- Head office
Product Support Specialist
CI Investments Inc.
03.2011 - 09.2012
- Contacted financial advisors and third-party institutions to obtain missing information, and inquire about issues regarding trades on client investment accounts
- Reviewed and took appropriate action on daily, weekly, monthly and annual government reports, in order to ensure the proper administration of the company’s Registered Education Savings Plan (RESP) accounts
- Responded to a high volume of incoming inquiries from financial advisors and their administrative staff, while committing to strict response timelines
- Ensured client-held RESP accounts remained compliant by adhering to stipulated government rules and guidelines
- Completed extensive testing for grant incentive-filing purposes such as the Quebec Education Savings Incentive (QESI) as well as new internal system enhancements
- Responded to product-specific email and telephone inquiries submitted by the inbound RESP client/advisor service team members
Resolutions Associate
CI Investments Inc.
05.2010 - 03.2011
- Contacted financial advisors, clients and third party companies in order to communicate information and correct application errors via telephone call-outs and outgoing faxes in order to quickly resolve items deemed not in good order
- Assisted with providing resolutions to time-sensitive items, such as promptly requesting the item to be corrected and resubmitted
- Consistently exceeded monthly targets for completing resolution items
- Kept open lines of communication with other resolution associates on the team, as well as the processing and administration team and the Financial Service Representatives on the inbound queues
- Assisted with processing queues during times of high volume, including processing all non-financial change requests, systematic plan change requests, grant incentive applications and rerouting not-in-good-order documents to the resolutions team
- Assisted with processing queues and worked overtime during peak volume periods, which included processing new account application requests, financial and non-financial account updates and transactions
- Verified application forms for accuracy and completeness and if the item was deemed not in good order, it was promptly sent to the Resolutions team for further handling
- Completed monthly evaluations of other Resolution Associate’s call outs and faxes and provided them with their scores and constructive feedback, which were incorporated into their yearly performance reviews
Front Desk Receptionist
Salon Fortelli & Spa
09.2008 - 01.2011
- Provided exceptional customer service to existing salon and spa clients as well as prospective clients, in person, over the telephone and via email
- Booked appointments for new and existing clients via telephone
- Completed data entry of client information and inventory data
- Accurately collected payment for salon and spa services via cash, debit, and credit card transactions
- Managed all appointment bookings and contacted clients for appointment reminders and changes
- Maintained and oversaw the salon and spa schedule, including booking, shifting and cancelling appointments
- Kept the schedule organized in a way that ensured there were no overbooked or duplicated appointment time slots
Financial Services Representative (FSR)
CI Investments Inc.
05.2009 - 04.2010
- Provided timely, accurate and professional service to financial advisors, assistants and/or mutual fund unit holders (clients), often handling more than 100 inbound calls per day
- After completing the appropriate security checks, investigated account-related issues and inquiries and provided accurate information to the callers
- Regularly consulted 'The Insider', an internal database resource for information to assist in answering questions and providing accurate information to callers
- Provided requested documents and confirmations to callers via fax and email in a timely manner, while adhering to CI's internal business policies and procedures
- Investigated inquiries and located the answers to often complicated or complex issues, and diligently followed up accordingly with the applicable parties until the issue was resolved or the question was answered
- Updated financial and non-financial client account information via data entry into the client account database
- Stayed current and up to date on company policies, government rule changes, regulatory announcements and economic conditions in order to best serve the clients
Education
Bachelor of Arts degree - Sociology Major
McMaster University
Hamilton, ON01.2006
Skills
- Wealth management expertise
- Office administration support
- Efficient task management
- Email management proficiency
- Proficient in Microsoft Word
- PowerPoint proficiency
- Advanced Excel skills
- Accurate data input
- Data analysis proficiency
- Effective organizational skills
- Meticulous attention to detail
- Clear communication
- Analytical judgment skills
- Effective multitasking
- Effective time management
- Independent task management
- Client assistance
- Anticipating potential issues
- Self-directed execution
- Effective verbal communication
- Effective written communication
- Collaborative team setting
- Digital marketing strategies
- Effective policy execution
- Performance evaluation
- Process optimization
- Effective relationship management
- Salesforce administration
- Meeting schedule coordination
- Policy and procedure development
- Collaborative project engagement
- Employee training
- CRM expertise
- Employee training programs
- Data interpretation skills
- Reporting proficiency
- Mentoring team members
- Regulatory compliance
- Client support
Languages
English
Native or Bilingual
Certification
Canadian Securities Course (Obtained in June 2015) from the Canadian Securities Institute.
Timeline
Manager, Client Services
First Capital Financial
11.2024 - Current
Senior Administrator & Executive Assistant
First Capital Financial
04.2018 - 11.2024
Team Leader, Marketing Support
Assante Wealth Management
01.2016 - 04.2017
Senior Marketing Approvals Coordinator
Assante Wealth Management
09.2012 - 12.2015
Product Support Specialist
CI Investments Inc.
03.2011 - 09.2012
Resolutions Associate
CI Investments Inc.
05.2010 - 03.2011
Financial Services Representative (FSR)
CI Investments Inc.
05.2009 - 04.2010
Front Desk Receptionist
Salon Fortelli & Spa
09.2008 - 01.2011
Bachelor of Arts degree - Sociology Major
McMaster University
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