8:00 a.m.
In my home office checking phone messages and answering emails that
have arrived after hours. Check my Task List for any items that are
due today – it's a critical tool for staying organized.
Send a notice to the Regional Manager of Operations regarding a
request to make a presentation to the management group at an
upcoming conference. Then it's time to review pre-visit reports for
a branch review that is scheduled for next week. Select the files
that will be examined and send out notifications to the branches
that will be reviewed. Order the relevant pre-visit reports for
future reviews and make my travel reservations for out of town
branches. Check my briefcase to make sure I have all the documents
and tools I'll need to spend the day in the branch.
9:30 a.m.
Arrive at the branch. The management received notification of my
visit so they are expecting me. I have a brief conversation with
the Branch Manager and the Manager of Financial Services to set the
expectations and get an outline of branch routines. I set off for a
tour of the branch, say hello to the sales staff and arrange times
to interview the MFS and a sales representative. I get my laptop
set up in a secure area and organize the documents for the branch
review.
10:00 a.m.
Begin reviewing mutual fund files. All accounts are entered on an
electronic data base that will produce a deficiency report at the
end of the review. While working through the files, I respond to
incoming emails and diarize those that require follow up or forward
the email to another party for action.
1:00 p.m.
Conduct an interview with the Mutual Fund Sales Representative
using a standardized questionnaire. This generates lots of great
conversation about suitability, procedures and new regulations.
It's an opportunity to introduce a new job aid for 'Understanding
the Wealth Allocation Model' and review some key information in
Performance Magazine. I also provide some tips on efficiency and
improving the customer experience by using the tools available on
the C3 sales platform.
2:00 p.m.
Time to take a break, have lunch and get some fresh air.
2:30 p.m.
Complete the branch review, noting deficiencies and things done
well which will be summarized on the Branch Dashboard Report. I
prepare the Branch Manager's Action Report which I will deliver at
the conclusion of the review. Emails and phone calls come in
throughout the day; sales reps from my Regions recognize me as the
subject matter expert and responses are quickly provided.
3:30 p.m.
I conduct an interview with the Mutual Fund Branch Manager, again
using a standardized questionnaire. As the conversation flows, I
introduce relevant findings from the review and discuss areas that
require corrective action. This is a great opportunity to confirm
that the manager has adopted a risk-based approach to supervision
and is not spending unnecessary time performing functions that are
not required. I suggest that the Regional Sales Manager for the
Investment and Banking Solutions Sales Team can provide additional
coaching regarding efficiencies and best practices during the sales
process.
4:30 p.m.
Deliver the report and highlight both areas requiring improvement
as well as any noted improvements since the last review. I explain
the next steps to the Manager and let them know that the final
report and rating will be communicated shortly. The final paperwork
will be completed in my home office in the morning and submitted to
Head Office for approval.
Today I am returning home but I frequently travel
to complete reviews in various parts of the province or other
provinces and may be away from home for up to 5 nights at a time.
I'm able to plan my travel schedule to reduce the impact on my
personal life. | 
