Neel Patel

Investment Associate

Guardian Capital Group

Brampton, ON

04.2021 - Current

Client Service – Supported up on client and Investment Counselor requests to ensure proper settlement and delivery. Exploring and resolving inquiries and complaints related to accounts and refer to the Investment Counselor where applicable. Developing strong and effective working relationships with clients and third-parties, such as Accountants working with clients.
Providing Administrative Support : Requesting information and documentation from clients to open accounts. Examining incoming mail and telephone calls. Planning and organizing activities and essential resources to ensure smooth running of office. Managing daily activities of the Investment Counselor in a manner that helps him to maximize availability and effectiveness. Arranging and distributing documentation and information to clients including marketing materials, servicing packages, and proposals. Keeping appointment bookings for the IC. Ordering the periodicals, journals and other literature for the Investment Counselor. Maintaining client files in adherence with audit guidelines and processes.
Operational Support – Assisting the Investment Counselor through the Investment Policy cycle from creation to trading implementation. Advise of client maturities. Helping identify clients whose needs would be best met by Guardian Capital Group partner. Maintaining and updating client contact database. Preparing and completing account closures in a timely manner. Processing transactions for clients include wire transactions, cheque deposits/issuances, cash transfers. Implementing Investment Policy Statements as per instructions. Reviewing client portfolios monthly to ensure records are in good order.

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