Manager, Equity Capital Markets

• Apr 2021 - Present

Associate, Private Trading

• Feb 2020 - Apr 2021

•Private Trading Office (PTO) is a multi-billion dollar business within RBC Dominion Securities, offering concierge brokerage services to sophisticated Ultra High Net Worth (UHNW) clients, Family Offices, Holding Corporations, CEOs, Corporate Insiders, Foundations and Hedge Funds across North America, Europe and Asia.•Situated on the trading floor, our team liaises closely with RBC Capital Markets to provide the best trade executions and customized strategies at the preferred institutional trading rates.•PTO provides clients access to a wide range of investments available on Canadian, US and international markets, including global equities, fixed income, currencies, options, futures, FX forwards, precious metals and structured products. Our team also helps executives and other insiders design and execute pre-designed trading plans, such as ASDPs and ASPPs.•Collaborates closely with the capital markets traders, trade settlement teams, equity order management, agency trading, investment banking, compliance, private bankers and Enterprise Client Group on client onboarding, AML/KYC assessments and trading executions.•Provides ongoing coaching to new staff, proactively trains my team on new technology such as CRM and various DS applications as well as streamlining existing operational processes.

Market Surveillance Analyst

• Aug 2019 - Feb 2020

• Conducted tier-2 reviews of employees' PRO accounts held in RBCDS/RBCDI as well as external IIROC dealer firms in accordance with IIROC Rule 2500, Universal Market Integrity Rules UMIR and firm regulations.• Managed restricted/cease trade order securities in CREM for RBC Capital Markets and ran daily reports on retail, inventory and institutional trades to ensure no CTOs are traded or if there are exemptions for certain accounts to trade them.• Performed daily and monthly reviews on futures, currency FX forwards/swaps, and separately managed custodian accounts using a risk-based approach.• Communicated closely with the structured notes team, fixed income trading desk and pricing team to ensure the proper rating is assigned to any new issue structure notes and updated trade surveillance database daily.• Performed due diligence and analyzed large sets of trade reports identifying potential areas of risk (financial, reputational, regulatory, etc). Organized and maintained all records & trails for both internal & external audits. • Effectively communicated with the compliance/trade surveillance department in other banks/firms to ensure our employees' personal trading comply with the IIROC and firm's policy.• Key point of contact for any employees' personal trading inquiries and concerns within RBC Dominion Securities. Escalated any issues to the Branch Managers / Directors and ensured corrective actions have been taken.• Responsible for continuous and pro-active identification and development of enhancement opportunities for the surveillance program.• Performed reporting, drafted policies and procedures, and carried out special projects as assigned.

Associate

• Oct 2017 - Jul 2019

• Worked closely with the Chairman's Council Investment Advisor in a fast-paced environment, managing over $500 million in assets for high-net-worth clients. • First point of contact for trades and portfolio rebalancing while providing the best quality client service and accurate executions. • Possess strong time management and organizational skills, being able to prioritize and re-prioritize tasks in order to meet demanding various needs.• Maintained a strong understanding of securities regulation and firm's policies.

Banking Advisor

• Aug 2015 - Oct 2017

• 6 consecutive weeks winner in the 7-week in-branch sales campaign based on solutions and volume from June 2017.• LTR Top Box March 2017 four 10/10'sReceived Four 10 out of 10s in the "Likelihood to Recommend" Client Satisfaction Survey in March 2017.• Received a client's complimentary email to the Regional Vice President in Vancouver regarding my professionalism in helping the client settle his father's estate and making the process as smooth as possible.• Constantly received 10 out of 10 in Client Satisfaction Survey in RBC.• Registered as a Mutual Fund Representative by Royal Mutual Funds Inc. • Provided personalized advice to clients relating to their accounts, credit products such as credit card, loan and mortgages, investment and estate to make them feel valued banking with RBC.• Conducted due diligence while onboarding new clients, uncovered all areas of financial needs, used 5C's of credit while assessing credit application and making business cases for loans/mortgages/revolving credits, performed KYC and suitability before suggesting investment solutions to clients, settled estates for clients and offered estate planning advice to clients.• Implemented follow-up contacts actively and relationship building strategies with clients, as well as identified opportunities through sales pipeline to make sure all areas of financial needs are being taken care of. • Took the time to understand clients’ concerns and what matters them the most, followed by suggesting solutions and escalating concerns to the right department.• Partnered with Financial Planners, Mortgage Specialist and Business Account Manager to ensure clients are at the “Home of Best Fit”.•Mentored junior staff on how to provide financial advice and deliver the best experience to clients.

Client Advisor

• Dec 2013 - Jul 2015

** In the Appetite for Advice Event 1st Course :i. Named One of the First Ten National Top Performing Client Advisorsii. First Top Performer Client Advisor In The Whole Alberta Area• Managed risks by adhering to compliance routines, processes, and AML controls to protect client and shareholder interests while completing transactions in an efficient and accurate way.• Demonstrated professional retailing behaviours while assisting clients in all areas of the branch, at the counter, welcome zone, ATM machine with relevant advice. • Applied product knowledge during the conversation with clients and suggesting the most suitable banking product to save clients time and money.• Proactively promoted digital banking such as online banking, mobile banking to clients and give them new insights into doing their everyday banking via smartphone/tablet.

Economics Tutor / Teaching Assistant

• Sep 2013 - Apr 2014

** Received excellent comments from professors and students for my tutoring skill and work attitude. • Tutoring the first year Economics students in Microeconomics and Macroeconomics. • Proctoring midterms and final exams of the first year Economics courses. • Promoting the usefulness and fun of studying Economics to the freshmen students. ** Received excellent comments from professors and students for my tutoring skill and work attitude. • Tutoring the first year Economics students in Microeconomics and Macroeconomics. • Proctoring midterms and final exams of the first year Economics courses. • Promoting the usefulness and fun of studying Economics to the freshmen students.

Customer Service Representative

• Jun 2012 - Nov 2013

Awarded “The Best and Most Friendly Customer Service Representative” twice by Secret Shoppers. Awarded “The Best and Most Friendly Customer Service Representative” twice by Secret Shoppers.

Piano Tutor

• Jan 2012 - Aug 2013

Conducted piano and music theory lessons for both children and adults from Grade 1 to Grade 8. Provided feedbacks to parents about their children’s lessons and progress. Conducted piano and music theory lessons for both children and adults from Grade 1 to Grade 8. Provided feedbacks to parents about their children’s lessons and progress.

Sales Associate

• Oct 2011 - Jan 2012

Summer Intern

• Jul 2009 - Aug 2009

Assisted the solicitors in organizing case files and drafting legal letters. Attended trials along with solicitors in high court, district court and Magistrates' court. Participated in firm's meetings, took down notes and created agendas for solicitors. Performed receptionist duties greeting clients, answering and routing incoming calls. Assisted the solicitors in organizing case files and drafting legal letters. Attended trials along with solicitors in high court, district court and Magistrates' court. Participated in firm's meetings, took down notes and created agendas for solicitors. Performed receptionist duties greeting clients, answering and routing incoming calls.