SHEALING YOUNG
Markham,ON
Summary
Experience in supporting financial advisors by managing client relationships, maintaining detailed client records and assisting with account transactions. Solid understanding of investment strategies, retirement planning as well as tax laws. Strong analytical thinking skills paired with high-level organizational capacity have contributed to streamlining procedures and enhancing operational efficiency in previous roles. Possess interpersonal skills that foster strong team collaboration and excellent customer service.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Financial Advisor Assistant
Assante Wealth Management
Toronto, Canada
01.2020 - Current
- Managed client documentation, account administration, and service requests to enhance operational efficiency.
- Oversaw KYC updates, suitability reviews, and regulatory documentation for compliance adherence.
- Tracked follow-up items to completion, ensuring thorough preparation for client meetings.
- Maintained CRM accuracy while ensuring all interactions met CIRO standards.
- Liaised with head office teams to resolve escalations and address processing issues.
Team Leader — New Accounts Department
Assante Wealth Management
Toronto, Canada
01.2016 - 01.2020
- Led new-account processing for a team of 27, ensuring efficiency and accuracy.
- Authored comprehensive processing manuals to reinforce compliance controls.
- Supported audits by facilitating policy updates and championing regulatory initiatives.
- Played a pivotal role in V12 conversion testing and resolved emerging issues.
Senior Service Coordinator — Private Client
CI Investments
Toronto, Canada
01.2015 - 01.2016
- Supported Investment Counsellors and Stonegate offices
- Coordinated trades, account changes, and escalations
- Liaised with custodians to ensure accurate and timely processing
Operations & Compliance Officer
Sprott Inc.
Toronto, Canada
01.2008 - 01.2009
- Conducted compliance reviews for private-wealth accounts to ensure regulatory adherence.
- Reconciled hedge-fund trades while monitoring third-party back office activities.
- Led development of firm’s Business Continuity Plan to enhance operational resilience.
Director of Operations
PDQ Financial Services Inc.
Toronto, Canada
01.2006 - 01.2007
- Established comprehensive policies and procedures for financial-services start-up.
- Managed HR functions, payroll processing, and benefits administration.
- Oversaw office operations to ensure seamless daily activities.
Team Leader — Transitions Department
Assante Wealth Management
Toronto, Canada
01.2005 - 01.2006
- Managed advisor transitions and onboarding processes to ensure seamless integration.
- Implemented quality control measures to minimize transition delays.
- Streamlined onboarding procedures to enhance efficiency and reduce timeframes.
Education
Bachelor of Arts - Mathematics for Commerce
York University
Toronto, ON06-1999
Skills
- KYC and suitability compliance
- CIRO, MFDA, and IIROC regulations
- Client servicing and support
- New account processing
- FATCA, CRS, and QI compliance
- Regulatory documentation management
- Practice management strategies
- Workflow optimization techniques
- CRM and financial software proficiency
- Training and coaching delivery
- Cross-functional collaboration skills
- Microsoft Excel expertise
Certification
• Canadian Securities Course (CSC) - 2002
• Investment Funds Institute of Canada (IFIC) - 2006
• Level 1 Life Insurance License - 2003
• Investment Funds Institute of Canada (IFIC) - 2006
• Level 1 Life Insurance License - 2003
Community Service
- Mooban Dek Orphanage (Thailand), ESL Volunteer
- North York Women’s Shelter, Fundraising & Front Office Support
Earlier Roles
- Office Manager / Bookkeeper, CI Group / CV Energy Tech (2012-2014)
- Math Tutor, Sharpminds (2010-2011)
- Bookkeeping & Payroll, Auto King (2007)
- Financial Advisor Assistant, Assante Capital Management (2000-2005)
- Teller, TD Bank (1998-2000)
Timeline
Financial Advisor Assistant
Assante Wealth Management
01.2020 - Current
Team Leader — New Accounts Department
Assante Wealth Management
01.2016 - 01.2020
Senior Service Coordinator — Private Client
CI Investments
01.2015 - 01.2016
Operations & Compliance Officer
Sprott Inc.
01.2008 - 01.2009
Director of Operations
PDQ Financial Services Inc.
01.2006 - 01.2007
Team Leader — Transitions Department
Assante Wealth Management
01.2005 - 01.2006
Bachelor of Arts - Mathematics for Commerce
York University