Mariz Serate

Associate – Wealth Management | CIRO (CIRE) Licensed

Talent

2020 Hamilton Ave. Thunder Bay, ON P7E 4Y2Member since October 6, 2026

Wealth management & brokerage operations supportCIRO regulatory compliance & risk awarenessClient onboarding, transfers & account maintenanceClient relationship management & service excellenceTrade processing & financial transactions accuracyDocumentation review & attention to detailProfessional verbal & written communicationTime management & organizational effectiveness

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About

Support Investment Advisors in delivering personalized wealth management solutions by managing client accounts, investment-related documentation, trade processing, and day-to-day portfolio service needs with accuracy and attention to detail. Serve as a key point of contact for high-net-worth clients, building trusted relationships through responsive service, needs-based communication, issue resolution, and coordination of client meetings and account requirements. Assist clients throughout the investment account lifecycle, including onboarding, account transfers, documentation, account maintenance, and service requests, ensuring a seamless and professional client experience.

Experience

Associate - Wealth Management - RBC Dominion Securities Inc. - Canada

(2025)

Support Investment Advisors in delivering personalized wealth management solutions by managing client accounts, investment-related documentation, trade processing, and day-to-day portfolio service needs with accuracy and attention to detail.
Serve as a key point of contact for high-net-worth clients, building trusted relationships through responsive service, needs-based communication, issue resolution, and coordination of client meetings and account requirements.
Assist clients throughout the investment account lifecycle, including onboarding, account transfers, documentation, account maintenance, and service requests, ensuring a seamless and professional client experience.
Collaborate closely with Investment Advisors to understand client needs, prepare for client meetings, and coordinate follow-up activities related to investment accounts and wealth management services.
Handle sensitive client and financial information while maintaining strict adherence to CIRO regulations, compliance requirements, privacy standards, and internal policies.
Demonstrate strong knowledge of wealth management processes and investment account operations while proactively identifying client needs and escalating opportunities or complex inquiries to the appropriate Investment Advisor.
Build strong relationships with clients and internal partners through clear communication, professionalism, responsiveness, and a client-first approach.

Customer Experience Associate - Scotiabank Inc - Canada

(2023 - 2025)

Took a proactive approach to discovering customer needs and providing personalized solutions, enhancing customer satisfaction.
Processed daily transactions accurately and efficiently, ensuring compliance with banking regulations.
Built and maintained strong customer relationships, contributing to branch targets and promoting customer loyalty.

Client Service Associate / Marketing Assistant - BDO Unibank, Inc - Philippines

(2015 - 2022)

Managed client accounts and advised on financial services, enhancing client financial literacy andsatisfaction.
Conducted transactions including cash handling, deposits, withdrawals, and loan payments, ensuring accuracy and compliance with banking policies.
Cross-sold a range of banking products and services including credit cards, personal loans, deposit accounts, and insurance products, contributing to branch revenue growth and client retention.