New Brunswick, Canada
An enthusiastic and motivated individual with proven problem solving, conflict resolution, and organizational skills. Comfortable working in a dynamic and changing environment. Exceptional communication skills, comfortable working with peers and high level stakeholders Experience in staff management, operations and compliance. Core strengths include: • Project management and operations – Workforce planning and scheduling. Able to monitor and adhere to multiple deadlines. Team lead on audit projects. • Policy and Process Management – Reviewed, created and updated policy and procedures for compliance and risk mitigation. • Training, coaching and mentoring staff – Hired and managed staff. Handled performance reviews and terminations. Worked with employees to help them develop and meet career goals. • Relationship Management – Able to quickly build strong relationships with stakeholders at every level. Adept at working with and managing expectations of leadership, managers and clients.
Provide advisory FCC support to the Global Banking and Markets business sector, including but not limited to guidance on Group and local AML regulatory requirements, support on client risk assessments and preparation of investigative enhanced due diligence reports. • Identification of Financial Crime Compliance changes and potential impacts on GBM in Canada • Works closely with Financial Intelligence Unit and Business Financial Intelligence Units to manage Risk and Compliance matters in Canada. • Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators. • Assist with the Compliance Risk Assessment process across the business lines on an ongoing basis and obtain business sign-off.
• Prepared Know Your Client (KYC) profiles and conducted KYC reviews/renewals for Relationship Managers (RM). Provided sign-off or pursued further due diligence, in accordance with HSBC Group policy and local regulatory requirements. • Referred adverse findings to the RM and compliance team and worked to ensure investigations were satisfied with regard to risk, additional due diligence or exit. • Worked with business to ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. • Strictly adhered to compliance and operational risk controls in accordance with the bank and regulatory requirements, internal policies and practices.
• Key Achievements: o Certified as HIFC Branch Manager after one year of working in the branch. o Achieved a “satisfactory” in branch’s first internal audit, within a year of taking over. o Achieved KYC deficiency ratio less than the 3% regulation by September 2011 (down from 15%) and maintained that status, while regularly keeping a deficiency ratio of 0%. • Responsible for the hiring, firing, day-to-day activities and performance reviews of 15 individuals. • Worked closely with Branch Manager to help with development and training of branch staff. • Managed day-to-day branch operations, while identifying and mitigating risk elements. • Monitored and investigated all significant incoming and outgoing wire transfers for branch portfolio clients, reviewed large transactions. • Worked with Compliance and Risk partners to design bank's action response to clients of concern. • Implemented operational processes, systems, and practices within the team to create and enhance branch effectiveness and efficiency. • Actively engaged clients to fully understand their needs, efficiently dealt with more complex customer transactions, resolved inquiries, problems, complaints, and managed customer expectations in terms of resolution timelines. HIFC Manager, HSBC Investment Funds (Canada) Inc. March 2012 - April 2013 • As HIFC Manager: o Provided daily guidance and training to four Mutual Fund Advisors (MFA). o Reviewed and approved all new account openings, initial contributions, trades and redemptions, ensuring proper standards and policies were met. o Ensured all KYC profiles were up-to-date and met regulatory requirements. o Monitored relevant reports on trading and changes to KYC and disseminated pertinent information.
In the (roughly) seven months that I was a part of the HSBC Grad Development Program I had the amazing opportunity to work in different size branches as well as departments within the HSBC organization. Learning under different managers and discovering how to manage and collaborate with different teams greatly enhanced and broadened my perspectives – something that has been significant in my development as an effective and efficient manager.
• Provided quality sales and customer service to meet customers needs across multiple distribution channels • Ensured accurate and timely processing of all activities related to position while maintaining compliance and operational controls in accordance with HSBC regulatory standards as well as government regulation • Trained newly hired Customer Service representatives • Start/End of day cash and cheque total balancing, vault combination and key holder
• Involved in marketing meetings on how to better promote the company, as well as creating ideas for new tour options to stay current and competitive. • Fielded all incoming reservations calls from clients, re-sellers, and destination management companies (DMC). • Coordinated multiple tour groups in the office at one time, ensuring proper waivers were signed and all guests were accounted for. • Managed the end of day reports that included cash and credit transactions. • Ensured consistent and up to date communication between several off site departments. • Managed correspondence with guests, re-sellers, and DMCs through email and phone contact. • Created and maintained in resort business relationships. • Effectively resolved inquiries, problems, complaints, and managed customer expectations in terms of timelines, efficiency, and professionalism. • Trained all new sales staff. Assistant Group Coordinator • Maintained consistent communication with the Groups Coordinator. • Fielded all phone calls and messages for the Groups Coordinator. • Maintained consistent communication with the Tour Directors of numerous DMCs. • Assisted in familiarization tours and site inspections. • Managed group bookings and details in the reservation system. • Worked directly with groups on event day fielding questions, handling waivers, and assisting Tour Directors and Group Coordinator.