Wes Sumner

Experience

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  RBC Dominion Securities

  Apr 1999 - Oct 2000

  • Investment Advisor Assistant

    Apr 2000 - Oct 2000

  • Inventory Control Accountant

    Apr 1999 - Apr 2000
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  Beutel Goodman & Co

  Apr 2001 - May 2010

  Institutional Client Account Administrator

  • Primary point of contact for client service requests on a daily basis. • Quality control of quarterly stewardship reports for accurate spelling, grammar, investment holdings, portfolio commentary, & corresponding performance benchmarks.• Prepared quarterly compliance reports with input from portfolio managers and audit final content for risk mitigation and compliance with client's Statement of Investment Policy and Goals.• Supported portfolio managers in communicating future cash requirements that require rebalancing portfolio cash levels with trading activity.• Confirmed timely and accurate settlement of securities trading with custodians & brokers and take leadership of problems toward delivering solutions.• Reconciled & balanced both cash and securities trading activity in a collaborative, communicative team environment.• Generated daily, monthly, and quarterly portfolio reports for clients to meet regulatory compliance requirements. Show less

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  Beutel Goodman & Company

  Jun 2010 - Oct 2016

  Manager, Institutional Account Administration

  • Increased the efficiency of the team by 100% over 6 years, by streamlining processes and doubling the amount of accounts each team member could cover from 20 to 40 thereby saving the company 4-6 salaries per year.• Portfolio Administration for 220 accounts where my team was the main point of contact. I built long term relationships of trust & credibility with our clients through responsiveness & competency thereby earning their loyalty to the brand of Beutel Goodman. • Managed a team of 6 where I built & cultivated a collaborative, cooperative team environment where each team member felt respected & valued and each team member was developed commensurate with natural talents, abilities & aptitudes.• Leadership of administration team where I provided long term stable direction by demonstrating values clients depend on including professionalism, subject matter knowledge, and problem solving.• Coaching 6 team members I led by example for having strong ethical values and a client-centric focus by putting client interests first while building the Beutel Goodman reputation. Encouraged my employees to demonstrate a fiduciary mindset by asking “What would we do if it was your own money?” type of questions.• Supported marketing & sales staff in adding value to the investment marketing process by responding to client service requests quickly and efficiently, for example getting back to clients within a minute with simple requests via email. Show less

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  CST Consultants Inc.

  Mar 2019 - Nov 2019

  Sales Representative

  • Cold call prospects and book appointments with clients for Registered Education Savings Plans• Deliver sales presentation in person to clients using personalized financial data and illustrations. Coach and consult clients to maximize the end result in an RESP. • Study federal & provincial RESP regulations and pass RESP licensing exam specified by Ontario Securities Commission.• Build rapport, demonstrate expertise & transfer knowledge in appointments by being a subject matter expert. Make recommendations for investment while balancing client best interests, firm compliance rules and government regulations.• Implement objection prevention to overcome client objections and close the sale. Build and maintain the client relationship after the sale. Show less

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  None

  Nov 2019 - Sept 2021

  Self Employed