Experience

TD Waterhouse Capital Markets, Inc.

• Credit & Market Risk Analyst



TD Waterhouse Capital Markets, Inc.

• United States
• Financial Services
• 1 - 100 Employee

• Analyst, Credit & Market Risk Management

  • Apr 2011 - Present

  Toronto, Canada Area - Manage inherent operational risk within TD Waterhouse business (loan book of ~2.5B) through monitoring market & account activities within guidelines of TDW and IIROC. - Manage margin calls and option expiry exposure through liaising effectively with front office traders and clients as well as taking prompt action on portfolio positions. - Assist management in preparation of Credit reports daily/weekly/monthly and help increase efficiencies by improving processes. - Authorize and… Show more - Manage inherent operational risk within TD Waterhouse business (loan book of ~2.5B) through monitoring market & account activities within guidelines of TDW and IIROC. - Manage margin calls and option expiry exposure through liaising effectively with front office traders and clients as well as taking prompt action on portfolio positions. - Assist management in preparation of Credit reports daily/weekly/monthly and help increase efficiencies by improving processes. - Authorize and approve trades, cheques, wires, transfers and account opening and monitor their impact on clients and business. - Respond to incoming inquiries from branches, internal departments and other clients (DB, FP, PIA, IS). Lead on problem resolution. - Chair of Social Media and Client Experience committee, leading the team and initiatives. - Monitor potential fraudulent activity and handle legal matters such as bankruptcy, court orders and CRA Requirement to Pay. Show less



TD Wealth Management

• Financial Planning Associate, TDW Financial Planning

  • Oct 2008 - Apr 2011

  Toronto, Canada Area - Provided service and support to Financial Planners throughout Canada with more than $500,000,000 in combined managed assets. - Performed daily transactions including but not limited to Mutual Fund and GIC sales, processing, overseeing account transfers, new account opening, maintenance, KYC review, cash transfers. Addressed credit and compliance issues with strict adherence to and knowledge of IIROC policies, guidelines, and legislation. - Built relationships with FPs and partners at… Show more - Provided service and support to Financial Planners throughout Canada with more than $500,000,000 in combined managed assets. - Performed daily transactions including but not limited to Mutual Fund and GIC sales, processing, overseeing account transfers, new account opening, maintenance, KYC review, cash transfers. Addressed credit and compliance issues with strict adherence to and knowledge of IIROC policies, guidelines, and legislation. - Built relationships with FPs and partners at all levels to resolve concerns and problems promptly. - Coached the FPs on various technical systems including ISM, PM, Corrdirect, Vantage CMS, Funds AO, EIS, IWPS systems and the One Wealth Website. Show less



TD Waterhouse Discount Brokerage

• Canada
• Real Estate
• 1 - 100 Employee

• Licensed Investment Representative

  • Aug 2007 - Oct 2008

  Toronto, Canada Area - Executed equity, option, derivative, fixed income and mutual fund trades. - Generated over $4 million in capital and professional service sales which exceeded the team’s sales goals in a 12 month period. - Helped consolidate and retain business clients while building new opportunities for TDW & TDCT by making referrals to the appropriate colleagues. - Assisted clients in making informed investment decisions by introducing different products suitable for their risk profile and return… Show more - Executed equity, option, derivative, fixed income and mutual fund trades. - Generated over $4 million in capital and professional service sales which exceeded the team’s sales goals in a 12 month period. - Helped consolidate and retain business clients while building new opportunities for TDW & TDCT by making referrals to the appropriate colleagues. - Assisted clients in making informed investment decisions by introducing different products suitable for their risk profile and return expectations. - Informed clients of all available new issues through inbound calls with over 50% success rate. Show less