Summary
Overview
Work History
Education
Skills
Timeline
Training
Training
Training
Training
Generic

HARP GILL

Milton,ON

Summary

Pragmatic, customer-driven, and accomplished Dealer Relations Professional, leveraging career tenure overseeing MM$ Dealer Accounts & Servicing Large Bank Advisors across Canada. Brings forward extensive experience in managing daily operations, fostering positive working relationships with Advisors & Brokers, while leading key business development activities to grow the business. Trusted as the Point of Contact on all escalated issues, resolving critical risk issues, and coordinating daily Trade activities to close. Talented in leading teams, developing Advisor knowledge with Trade Training, and completing large-scale transfers as needed. Specialized expert in Fundserv, industry regulations, and FATCA reporting. Committed to securing compliance, achieving SLA’s, conducting audits, and leading key improvement projects.

Overview

22
22
years of professional experience

Work History

Private Client Administration Associate

CI Financial
08.2022 - Current
  • Efficiently handled multiple competing deadlines, maintaining a proactive approach to task management and delivering quality work on time
  • Developed strong professional relationships with colleagues across various departments, facilitating interdepartmental collaboration on key initiatives
  • Provided exceptional customer service while resolving client issues promptly via phone or email correspondence
  • Assisted in the development of training materials for new hires, contributing to consistent onboarding experiences across teams
  • Responsible for accurately processing transactions and implementing requests on behalf of investment councillors across five operational teams: Debits / Leverage, Line of Credits, Estates,Terminations and Quality Assurance
  • Accurately processes financial requests for high net-worth clients, handling upwards of $10M in assets daily, while maintaining client confidentiality
  • Develops and maintains excellent rapport with external custodians, such as National Bank, RBC, CI, and internal departments, providing clear communication on pending and expected timelines
  • Collaborates as a Subject Matter Expert with Training and Development executives to create new-hire training materials and enhance business processes, providing feedback for departmental improvements
  • Exceptional level of accuracy while maintaining a sense of urgency for maximum output
  • Creates, manages, and analyzes daily and quarterly reports, assessing potential margin breaches and solutions for clients, and facilitating quarterly interest payments
  • Responsible for reviewing and evaluating all line of credit applications, requesting corrections to adhere to external custodian policies, facilitating the opening and closing of all line of credits, and managing inquiries
  • Collaborates closely with Private Client Operations in the execution of account termination, billing processes, and seamless transfers to external institutions and internal custodians
  • Strong knowledge of policies and regulations for non-registered and registered account types, to adhere to internal compliance and CRA regulations
  • Identify and remove error sources in operational processing and submissions from advisors, while finding opportunities to improve internal processes for reoccurring errors and procedural gaps
  • Actively participated in ongoing professional development opportunities to stay current on industry trends and best practices
  • Provided reliable support for executive staff during periods of high workload or tight deadlines, ensuring seamless business operations throughout challenging times
  • Managed incoming communications through email and phone calls, directing inquiries to appropriate departments for timely resolution

Dealer Services Associate

IA FINANCIAL GROUP
11.2013 - 04.2021
  • Promoted to the Dealer Relations Department, working alongside a Team of 3, directly reporting to the Manager of Client Services
  • Loyally served as the Main Point of Escalation, managing an influx of requests, while serving Nation-wide Financial Advisor’s working for the major Banks
  • Single-handedly completed on average 120+ process requests daily, consistently achieving SLA’s, and generating reports to help guide Management
  • Acted as the subservient middleman, escalating issues to internal teams, working with Department Managers, and working under the IA Clarington Business Unit, completing contract dealer relations work and facilitating Advisor Financial Training
  • Processed all incoming new Advisor Setups & Modifications to existing codes for all three environments, including IA Clarington Mutual Funds, Segregated Funds, and IA Industrial Alliance
  • Meticulously researched wire order rejections over Fundserv, analyzing trade information, rejection responses, and error codes, quickly resolving trade issues while ensuring a seamless positive experience for each Advisor
  • In charge of settling the daily Net Settlement Trading, this included high-level data analysis to ensure values match, reconciling information, resolving balance issues, identifying reversed trades, totals ranging from $500K-$9M
  • Recognized by the Executive Leadership Team for executing the Statement Reporting Project, eliminating both tax receipts/annual statements of two core accounts (nominee, intermediary), saving $30K in annual costs
  • Liaised with Corporate C-Level Executives & Company Presidents, overseeing all high-level escalated issues

Client Administration

IA FINANCIAL GROUP
01.2013 - 01.2015
  • Aggressively recruited to the IA Client Administration team, compromised of 15-20 CA’s, directly reporting to the Supervisor & Team Leaders
  • This time-sensitive role was responsible for daily operations, documentation, and trade requests, processing on average 90-100 Financial & Non-financial Requests
  • Sole incumbent of all indexing activities, overseeing the Team’s Request Queue from morning to close
  • Quality control of high net worth advisor transactions and any trades over $100,000
  • Executed a large-scale License Clean Up which significantly helped with reducing trade rejections and eliminated wasted account holds, this project analyzed, identified, and validated over 10K+ Advisor Mutual Fund License’s

Customer Service Representative

CHILDREN'S EDUCATION FUNDS INC.
02.2011 - 12.2012
  • Took on an exciting opportunity to work for a National-level Financial Team, responsible for managing Customer Accounts totalling MM$ worth of Educational savings
  • Relentlessly supported this Burlington-based business, ensuring the highest quality of Customer Care, helping customers understand their savings-to-date, maturity timelines, and annual statements
  • Managed all internal and external customer correspondence (telephone/email), strictly adhering to Corporate’s 24-hour SLA targets, internationally speaking to clients (Punjabi & Hindi), and mailing out annual statements
  • Accurately calculated yearly amounts the Customer's child would receive in educational assistance

Transfer Agent Processor

FIDELITY INVESTMENTS
12.2001 - 02.2009
  • Kick started career tenure working within the Financial sector, taking on a front-line supportive role within the Transfer Department, directly reporting to the Manager
  • Provided excellent Customer support, processing on average 100+ requests daily via telephone/database system, including transfers, purchases, redemptions, and exchanges
  • Served as the Corporate Lead coordinating high-level US Withholdings activities and generating daily reports
  • Heavily contributed to the wildly successful RESP Project, efforts included working alongside the Marketing Team to develop from scratch new RESP Packages and revamping the application process to better capture customers
  • Trained Junior Staff on critical Processes & Procedures, including daily quality control and performance audits
  • Consulted with Financial Planners & Inter-departmental Teams to expedite time sensitive customer requests
  • Tasked by Management to lead various projects, including conducting multiple thorough History Report Audits
  • Escalated system-related issues appropriately, flagging priority based on the severity/complexity of the issue
  • Sought after to test company applications at the Fidelity Off-Site, providing suggestions to improve programs, ensuring functionality, and increasing user-friendliness over all platforms and features.

Education

High School Diploma -

M.M. Robinson High School
Burlington, ON
10.1996

Skills

  • Dealer Account Management
  • Sales & SLA Targets
  • Quality Control
  • Strategic Planning
  • Market Growth
  • Quality Applications & Development
  • Loan Documentation
  • Risk Management
  • Annual Statements
  • High-Level Finance Issue Resolution
  • Business Reporting
  • Broker Partnerships
  • Acquisition & Retention
  • Industry Changes

Timeline

Private Client Administration Associate

CI Financial
08.2022 - Current

Dealer Services Associate

IA FINANCIAL GROUP
11.2013 - 04.2021

Client Administration

IA FINANCIAL GROUP
01.2013 - 01.2015

Customer Service Representative

CHILDREN'S EDUCATION FUNDS INC.
02.2011 - 12.2012

Transfer Agent Processor

FIDELITY INVESTMENTS
12.2001 - 02.2009

High School Diploma -

M.M. Robinson High School

Training

  • Fundserv
  • Request Management
  • Transfer Resolution
  • Financial Reporting

Training

  • Fundserv
  • Request Management
  • Transfer Resolution
  • Financial Reporting

Training

  • Fundserv
  • Request Management
  • Transfer Resolution
  • Financial Reporting

Training

  • Fundserv
  • Request Management
  • Transfer Resolution
  • Financial Reporting

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HARP GILL