Experience

BMO Wealth Management - Canada

• Banking
• 700 & Above Employee

• Learning Facilitator

  • Aug 2021 - Present

• Trade and Risk analyst

  • May 2021 - Aug 2021

  • Review of equity, option, fixed income and foreign exchange trades• Analysis of trades to ensure accounts are operating within exchange, compliance and risk guidelines.• Review of trades on a second by second basis to ensure compliance in accordance with industry and regulatory requirements.• Identify and restrict fraudulent trading activities, eliminate significant trading loss to the firm.• Identify manipulative trade practices such as low ball orders, high closing, concentration, margin etc. and take action accordingly.• Adhere to IIROC Gatekeeper Obligations, Protecting client Personal Information and compliance of AML guidelines.• Investigated and addressed investment account operational and trade related issues. • Ensured any trading or material changes were done in compliance with IIROC regulations

• 5 Star Investment Specialist

  • Mar 2019 - Aug 2021

  •Executed trades on options, equities, bonds, GICs, mutual funds, and FX for high net-worth clients• Investigated and addressed investment account operational and trade related issues. • Ensured any trading or material changes were done in compliance with IIROC regulations and Firm’s risk management policies



TD

• Canada
• Banking
• 700 & Above Employee

• Resource & Mitigation officer

  • Dec 2018 - Mar 2019

  • Supporting Investment Representatives in problem solving on complex inquiries regarding account activity, market data, and authorization of trades.• Knowledge base for Investment Representatives and clients on TD Direct Investing products, services, and regulatory policies and procedures.• Supervisory role for client escalations and loss mitigation; act as a single point of contact for complicated issues, investigations on trade disputes and unauthorized access, call listening and coaching for Investment Representatives, and minimizing risk of regulatory and service issues for both the clients and the business.

• Investment Representative

  • Dec 2016 - Dec 2018

  • Accurately execute client instructions within defined authorities and ensure clients have the means to meet trade settlement obligations • Contribute positively to the overall productivity of the team by maximizing efficiency and availability• Deliver accurate, timely information on market activity and developments, company products and services and customer account information