TONY DI GENNARO
Toronto,ON
Overview
22
22
years of professional experience
Work History
Corporate Branch Manager
CI ASSANTE WEALTH MANAGEMENT
06.2010 - 09.2025
- Reviewing Tier 1 daily trade blotters for Assante Financial Management (AFM) and Assante Capital Management (ACM) and sending out Tier 1 inquiries to Advisors (Tier 1 Supervision). This also includes daily reviews of advisors under close supervision.
- Reviewing and signing off on New Account Application forms (NAAFs/KYCs) and Limited Trading Authorization Documents (LTAs) received from the advisors from my branches, and from National Accounts.
- Conducting scheduled Branch visits on an annual basis in order to provide updates on policies and procedures (check-ins), conduct periodic reviews, and create relationships with the branches that I supervise.
- Reviewing Tier 1 monthly blotters Assante Financial Management (AFM) and Assante Capital Management (ACM) and sending out Tier 1 inquiries to Advisors, and doing monthly sampling of trades evidencing pre trade fee disclosure and fund facts delivery.
- Following up on any inquiries on a daily basis, resolving any Tier 1 trade inquiries from which corrective action has been taken, and restricting any accounts from the Tier 1 trade inquiries that are past 25 business days due.
- Reviewing any trade exceptions that are received on a daily basis for any of my assigned branches.
- Completed the Tier 1 daily supervision efficiently, effectively, and successfully in a timely matter.
- Found an average of 3-5 Tier 1 trade inquiries per day, and resolved an average of 25 Tier 1 trade inquiries per month in a timely manner.
- Developed many wonderful relationships with my Advisors on the field, the Branches that I supervise, and the Advisors from National Accounts.
- Approved, signed off, and sent in many New Account Application Forms (NAAFs/KYCs) and Limited Trading Authorization documents (LTA's) in a timely manner.
- Conducted Presentations with my sub branches and National Accounts advisors, covering topics ranging from Regulatory matters to the everyday client meeting process.
- Approved proactively some of the trades that were exceptions in a timely manner in order to bridge the gap between the documents that were sent down on the same day, and the information that appeared on the processing systems, limiting the risk of trades being missed.
- Conducted and completed many periodic review reports with the branches that were scheduled for periodic reviews.
- Trained a few colleagues on the demands and requirements i.e. periodic review visits as Branch Manager.
- Co-ordinated meetings with other business development representatives/leaders in order to introduce my colleagues to them as contacts for when they need immediate assistance with client/advisor escalations. This has led to ongoing quarterly meetings with these leaders in order to discuss issues that are existing and also to bridge any of the gaps in communications between head office and the advisors in the field.
Compliance Officer, Surveillance
CI ASSANTE WEALTH MANAGEMENT
06.2007 - 05.2010
- Reviewing Tier 2 daily/monthly trade blotters for Assante Capital Management (ACM) and sending out Tier 2 inquiries to Branch Managers.
- Following up on any inquiries on a daily basis, resolving any trade inquiries from which corrective action has been taken, and restricting any accounts from trade inquiries that are past 25 business days due.
- Reviewing cash transactions for AML surveillance, looking for suspicious transactions in each account on a daily basis.
- Conducting and doing the AML high risk account review on a monthly basis.
- Filing the AML/anti-terrorist report for both Assante Capital Management (ACM) and Assante Financial Management (AFM), sending both reports to.
- Completed the daily and monthly reviews efficiently, effectively, and successfully in a timely manner.
- Found an average of 5-10 monthly/daily trade inquiries to send per day, ranging from suitability, DSC Fees, excessive trading (churning), incomplete KYC information, and excessive fees and commissions charged to clients on fee-based accounts.
- Resolved an average of 25-30 trade inquiries per week in a timely matter, receiving commendation from various Branch Managers for prompt action taken in responding to their questions and issues with respect to their branches and advisors, also maintaining the list of inquiries past 25 business days due on a manageable and controllable level.
- Found suspicious transactions on the AML daily review, reported these transactions to the AML officer, sent inquiries to the respective advisors, and if necessary, reported these transactions to FINTRAC as per the PCMLTFA Act of June 2008.
- Filed and sent Anti-terrorist reports to both IIROC and the OSC on a monthly basis in a timely matter.
Financial Adviser
CIBC IMPERIAL SERVICES
10.2003 - 05.2007
- Brought in to date $2,000,000.00 Net New Funds managed to the portfolio.
- Sold over $1,900,000.00 Managed money and professionally managed portfolios to date, achieving over 95% of our very aggressive annual managed money target.
- Achieved over 100% of our annual revenue target.
- Created several long term financial plans for my clients, resulting in higher customer loyalty numbers in the portfolio.
- Brought in to date over $1,600,000.00 of Long Term Investment Net Sales, IIROC and the Ontario Securities Commission (OSC) on a monthly basis.
- Growing My portfolio in New Funds Managed, Managed Money, Long Term Investment Sales, Credit, and Revenue.
- Giving presentations to other branch staff, including Branch Managers, discussing new products with respect to investments, credit, and financial planning matters.
- Doing Contact planning in order to extend the relationship with my existing client base, including proactive calling and prospecting.
- Getting new referrals to generate new business and expand my existing portfolio.
- Conduct Financial planning activities with my portfolio of clients in order to achieve their long term financial goals, achieving 110% of target year to date.
Timeline
Corporate Branch Manager
CI ASSANTE WEALTH MANAGEMENT
06.2010 - 09.2025
Compliance Officer, Surveillance
CI ASSANTE WEALTH MANAGEMENT
06.2007 - 05.2010
Financial Adviser
CIBC IMPERIAL SERVICES
10.2003 - 05.2007