Melanie Shaw
Calgary,AB
Summary
I am a Senior investment industry Licensed Assistant with previous experience as a Registered Representative/Life Insurance agent, Senior Financial Services Manager, and Investor Relations Consultant.
I am a Recognized sales leader with strong ethics and drive.
I aspire to join an independent wealth management team where I can pursue my CFP designation and support the financial planning and investment management divisions as well as tax/estate planning, business development, marketing and client communications departments.
Overview
27
27
years of professional experience
Work History
Licensed Assistant
Qopia Investments / iA Private Wealth
Calgary, Alberta
09.2021 - Current
- Licensed assistant to a team of discretionary portfolio managers managing over $280M AUM.
- Entering all mutual fund transactions and cash management requests using National Bank Investment Network systems.
- Tracking all transactions for accuracy. Reviewing debit/credit positions, and alerting managers to significant events.
- Assisting with compliance inquiries and branch audits.
- Onboarding new client documents and updating KYC information.
- Preparing transfer documents, and following up on resolution.
- Assisting with the preparation of client reports on Croesus.
- Creating and completing CRM tasks using Outlook and Excel.
- Contacting clients to confirm requests, book appointments, or responding to client inquiries.
- Assisting with office administration, organizing catering for meetings, and assisting with planning team events.
Unlicensed Assistant
Raymond James / IG Private Wealth / Financial Strategies Group
Calgary, Alberta
01.2017 - 12.2019
- Unlicensed Assistant to PM and CLU, with AUMs over $100M.
- Preparing all documentation for investment accounts and life insurance applications.
- Preparing and maintaining all client files, documentation, tracking spreadsheets, client reports, policy and procedure manuals, and other administration.
- Assisting with client meeting documentation and sales presentations.
- Proactively contacting clients to book appointments and arrange appreciation events.
- Investment research and analysis. Investment trades.
- Setting up and maintaining CRM data.
Senior Financial Services Representative
CIBC/BMO
Calgary, Alberta
01.2012 - 12.2017
- Selling premium banking services and credit facilities to retail and corporate clientele. Recognized sales leader (top decile nationally).
- Providing guidance to mutual fund investors and selling mutual funds.
- Assisting with all aspects of retail bank branch management.
- Assistant manager duties include cash control and supervising and training front-line staff.
- Recognized leader in sales and partner referrals to CIBC Imperial Service, CIBC Wood Gundy, and BMO Nesbitt Burns.
Investor Relations Consultant
Public Companies / Private Placements / Exempt Markets / Tax Shelters
Calgary, Alberta
01.2003 - 12.2012
- Independent consultant to several companies to manage all shareholder contact, prepare news releases, establish a website, and toll-free information lines.
- Structure investment offerings, and provide support to the legal teams.
- Industry research and consulting around competition.
- Presentations to potential and existing investors.
- Proactive industry contact to promote the companies and offerings.
Investment Advisor
Yorkton Securities
Calgary, Alberta
01.1998 - 12.2002
- Independent IIROC-licensed investment advisor and life-licensed agent.
- Co-managing AUM of $40M. Top quartile producer.
- Primarily composed of mutual funds (80%), bonds (10%), and stocks (10%).
- Presenting investment proposals.
- Networking events.
- Investment research and analysis.
Education
Wealth Management Essentials (WME)
Canadian Securities Institute
01-2023
Conducts & Practices (CPH)
Canadian Securities Institute
01-2019
Exempt Market Dealer License
IFSE
01-2011
Mutual Fund Dealer License
IFSE
01-2010
Petroleum Land & Contract Administration
Mount Royal University
01-2007
Life Insurance / Tax & Estate Planning
Alberta Insurance Council
01-2001
Professional Financial Planning
Canadian Securities Institute
01-2000
Canadian Securities Course
Canadian Securities Institute
01-1998
Skills
- Investment Sales and Administration
- Excellent communication and presentation skills
- Rapid dissemination of investment strategies and products
- Investment Research and Industry Compliance
- Business planning and development strategies
- CRM, Financial Planning, Tax Planning and Office Software
- Marketing & Events Planning
Timeline
Licensed Assistant
Qopia Investments / iA Private Wealth
09.2021 - Current
Unlicensed Assistant
Raymond James / IG Private Wealth / Financial Strategies Group
01.2017 - 12.2019
Senior Financial Services Representative
CIBC/BMO
01.2012 - 12.2017
Investor Relations Consultant
Public Companies / Private Placements / Exempt Markets / Tax Shelters
01.2003 - 12.2012
Investment Advisor
Yorkton Securities
01.1998 - 12.2002
Wealth Management Essentials (WME)
Canadian Securities Institute
Conducts & Practices (CPH)
Canadian Securities Institute
Exempt Market Dealer License
IFSE
Mutual Fund Dealer License
IFSE
Petroleum Land & Contract Administration
Mount Royal University
Life Insurance / Tax & Estate Planning
Alberta Insurance Council
Professional Financial Planning
Canadian Securities Institute
Canadian Securities Course
Canadian Securities Institute
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