Summary
Overview
Work History
Education
Skills
Certification
Languages
Timeline
Generic

Carol Chen

ANCASTER,Canada

Summary

Financial professional with deep expertise in investment strategies, risk management, and client relationship-building. Known for strong analytical skills, effective communication, and collaborative approach to achieving financial goals. Flexible and adaptable to changing market conditions, ensuring optimal results for clients and team synergy. Highly skilled in financial planning, portfolio management, and regulatory compliance.

Overview

5
5
years of professional experience
1
1
Certification

Work History

Financial Advisor (IIROC)

CIBC
10.2022 - Current
  • Provided comprehensive retirement planning services, ensuring clients maintain their desired lifestyle postretirement.
  • Built strong relationships with clients, fostering trust and loyalty in managing their financial portfolios.
  • Assisted clients with budgeting and cash flow management.
  • Worked with clients to support understanding of rationale and details of financial strategies.

Financial Services Representative

CIBC
11.2021 - 10.2022
  • Developed and maintained relationships with customers and assisted in generating sales opportunities
  • Expanded customer relationships by maintaining regular follow-up processes and rapport
  • Interviewed clients to determine income, expenses, financial objectives and risk tolerance in order to develop successful financial plans
  • Gathered required information from customers for settlement reviews to help negotiate down debt with creditors
  • Worked with clients to develop financial planning strategies and solutions through evaluation of finances.
  • Worked closely with other departments to provide seamless service delivery for complex client requests.
  • Conducted regular reviews of client portfolios to ensure alignment with risk tolerance and investment objectives.
  • Provided excellent customer service, resolving issues quickly and maintaining long-term client relationships.

Mutual Fund Representative Assistant

Goldfaith Financial Services Inc. under Cutrara Wealth (For Investia)
06.2020 - 07.2021
  • Possessing day-to-day transactions in investment business based on client needs accurately
  • Opening different types of accounts for new customers based on investor profile
  • Providing ongoing supports on customer services, handling client inquiries, and updating KYC as needed
  • Answering phones from customers and record customer needs and preferences; work with advisor to provide customized advices to exceed their expectation and gain their trusts and long-term relationships
  • Collaborating with the branch, fund companies and head office to smooth day-to-day transactions

Insurance Financial Advisor Assistant

Trinity Financial Services Inc.
11.2019 - 06.2020
  • Increased efficiency in the financial planning process by developing standardized templates for common analyses and reports.
  • Performed due diligence and valuation processes.
  • Contributed to successful client meetings by preparing detailed agendas, gathering pertinent materials, and taking thorough notes for follow-up actions.
  • Maintained strict confidentiality with sensitive client data while adhering to industry regulations and standards.

Education

Certificate in Risk Management -

York University, School of Continuing Studies
03.2021

Bachelor of Arts - Mathematics and Economics

University of Waterloo
06.2019

Skills

  • Relationship building and management
  • Sales expertise

Certification

  • Conduct and Practices Handbook (CPH), 09/22
  • Canadian Securities Course (CSC), 12/20

Languages

Chinese (Mandarin)
Native or Bilingual

Timeline

Financial Advisor (IIROC)

CIBC
10.2022 - Current

Financial Services Representative

CIBC
11.2021 - 10.2022

Mutual Fund Representative Assistant

Goldfaith Financial Services Inc. under Cutrara Wealth (For Investia)
06.2020 - 07.2021

Insurance Financial Advisor Assistant

Trinity Financial Services Inc.
11.2019 - 06.2020

Bachelor of Arts - Mathematics and Economics

University of Waterloo

Certificate in Risk Management -

York University, School of Continuing Studies

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Carol Chen