Gina Hall

Senior Manager - Complex Assistant Manager @RBC Wealth Management

Denver, CO, US

As a Complex Assistant Manager (CAM), I serve as a liaison between the complex management office, RBC U.S. Wealth Management branches and various corporate departments. I accelerate and drive the firm’s strategic initiatives by fostering meaningful partnerships, strong working relationships and an inclusive culture across the firm.• I help in leading a team across multiple branches. Drive excellence by coaching staff and enabling top-notch performance through the efficient utilization of all tools and training available.• I help to manage the Complex Operations Team and to ensure all required Operations-related policies are adhered to. I enable and prepare the complex and branches in the compliance inspection process and develop action plans to address any gaps.• I assess suitability and risk for daily sales activities. Ensure branch staff members comply with regulatory, firm, complex and branch procedures, while resolving issues as needed.• I ensure new advisors are properly onboarded including overseeing the process of coordinating new client paperwork, and ensuring financial advisors receive training on RBC’s policies and procedures; and proactively support Financial Advisors’ efforts to build their business and effectively service their clients.• I serve as a primary point of contact for multiple departments within RBC including Business Supervision Group, Compliance, Surveillance, and Legal.Investments in securities and/or insurance products are: NOT FDIC-INSURED - NOT BANK-GUARANTEED - MAY LOSE VALUE/ARE NOT DEPOSITS - ARE NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY - ARE NOT A CONDITION TO ANY BANKING SERVICE OR ACTIVITY.The information in this profile is intended only for residents of the U.S. States in which my firm has sponsored my licensure. Please refer to brokercheck.org FINRA CRD# 54•••62 for additional registration licensure information.

University of Utah

Music Pedagogy, Secondary Education

Western Governors University

Finance