Nick Zhu
Toronto,ON
Summary
4 + years of relevant experience in Wealth Management and Retail Banking as Investment Specialist CSC, PH, DFOL, WME course completed.
Enthusiastic analysis position eager to contribute to team success through hard work, attention to detail and excellent organizational skills.
Clear understanding of banking products and front-line employee’s obligations
Overview
7
7
years of professional experience
1
1
Certification
Work History
Clients Relationship Associate
TD Wealth Financial Planning
10.2021 - Current
- Spearheaded collaborative efforts with 3-4 Senior Financial Planners, collectively managing High-Net-Worth client accounts with precision and effectiveness.
- Showcased in-depth knowledge of trading and settlement cycles, ensuring seamless coordination in a dynamic financial landscape.
- Led cross-functional collaboration with wealth management professionals, Financial Planners, business management, legal, and compliance teams to collectively mitigate risks.
- Played a pivotal role in coordinating trade and asset transfer settlements by engaging closely with the operations team, emphasizing efficiency and accuracy.
- Conducted comprehensive reviews of the economic aspects of various financial instruments, maintaining a keen awareness of associated risks to ensure client financial security.
- Ensured the accurate capture of trade economics, payment configurations, and regulatory compliance factors in the risk management system, highlighting meticulous attention to detail.
- Proactively identified control weaknesses and fraud risks in asset transfer bookings, contributing to a robust risk management approach aligned with industry best practices.
- Drove the development of asset transfer capabilities by deepening understanding of complex transactions through collaborative efforts with business partners.
Investment Representative BMO Investorline
BMO Bank of Montreal
11.2020 - Current
- Provide professional quality sales and service for customer and prospect inquires, issues and requests.
- Achieves sales target with a focus on relevant investment products.
- Manages all transactional outcomes of customer contacts or refers to appropriate internal business groups.
- Perform any required documentations after completed customer interactions to ensure customer's requests are accurately processed.
- Maintains current knowledge of investment markets, practices and trends and integrates into customer conversations in professional manner.
- Completes complex and diverse tasks within given rules/limits and adheres to regulatory and compliance requirements, including Anti-Money Laundering and Terrorist Financing reporting requirements, Financial Consumer Agency of Canada (FCAC) consumer provision requirements and Privacy Act provisions.
Assistant Manager Customer Contact Center
BMO Bank of Montreal
11.2019 - 11.2020
- 12 month temporary assignment to be Assistant Manager of two teams around 25 employees.
- Supervise the team to ensure customers' are provided with superior service that defines a great customer experience.
- Take escalation to resolve the complex situation from associates.
- Provides guidance, direction, and coaching to the team to ensure individuals have a working proficiency in the call centre environment and meet stated objective.
- Assist Manager to review inbound calls to ensure the team can provide exceptional customer services.
- Manage associates' working schedule via IEX and Verint system.
- Coordinated service requests and problem resolution processes to ensure accurate completion and follow-ups.
- Protect the Bank's assets in compliance with all regulatory, legal and ethical requirements.
Personal Banking Associate
BMO Bank of Montreal
07.2017 - 10.2019
- Answer incoming calls from customers related to banking account and credit card inquires.
- Complete transactional requests and resolve customer's questions using knowledge of bank services, products and procedures.
- Integrate marketing promotions and programs into customer customer conversations and achieve sales target.
- Identify and report suspicious patterns of activity that are suspected to be related to MF or TF.
Education
International Business
Seneca College
06.2013
Skills
- Experience of stock trading, trades processing and account transfer and account maintenance supports, provide guidance of stock trading
- Trilingual in English, Cantonese and Mandarin
- Strong analysis skills and risks identification platform skills
- Strong verbal, written communication skills with years of banking Customer Services experience
- Expertise at teamwork and coordination
- IIROC licensed Investment Representative CSC,CPH, DFOL, WME licensed
- Adherence to IIROC rules and regulations
Certification
Canadian Securities Course (2021 Feb)
Wealth Management Essential （2023 Apr）
Timeline
Clients Relationship Associate
TD Wealth Financial Planning
10.2021 - Current
Investment Representative BMO Investorline
BMO Bank of Montreal
11.2020 - Current
Assistant Manager Customer Contact Center
BMO Bank of Montreal
11.2019 - 11.2020
Personal Banking Associate
BMO Bank of Montreal
07.2017 - 10.2019
International Business
Seneca College
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