Summary
Overview
Work History
Education
Skills
Certification
Timeline
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Easton Reid

Thornhill,ON

Summary

Dedicated Customer Service Specialist providing skills to prioritize and multi-task in fast-paced working environment. Collaborative team member focused on achieving both personal and organizational objectives. Proven track record in resolving escalated customer support issues effectively.

Overview

7
7
years of professional experience
1
1
Certification

Work History

Compliance Officer

Scotiabank
04.2022 - Current
  • Review contracts for compliance with applicable laws and regulations.
  • Provide support in responding to inquiries from government agencies.
  • Conduct regular internal audits to ensure compliance with established standards.
  • Ensure timely completion of periodic reports required by regulators.
  • Investigate potential violations of applicable rules and regulations.
  • Monitor employee adherence to company policies, laws, and regulations.

Financial Planner

TD Wealth FP Direct
04.2020 - 04.2022
  • Awarded Q1 quarterly merit winner for outstanding results across the site.
  • Recognized by management for consistently being compliant and having one of the top sales performance across the site.
  • Actively monitor the markets to stay on top of trends and identify investment opportunities for my clients.
  • Assist clients with services ranging from retirement planning, estate planning, and tax planning.
  • Counseled clients on financial matters and provided recommendations on investment opportunities, products and services based on client needs and asset availability.
  • Creating detailed reports for clients showing the performance history of their investments and projections for future growth.
  • Formulate and actualize strategic financial plans across client investment portfolios.
  • Profile and analyze investment products to devise financial strategies, meeting client financial needs and forecasting opportunities with highest return on investments.

Investment Representative / International Trader

TD Direct Investing
Markham, ON
02.2018 - 04.2020
  • Placed trades for clients in various different investments vehicles (Stocks, Options, GICs, Bonds, Mutual Funds, ETFs, etc.) Researched important market data for clients and provided quotes along with details of any corporate actions.
  • Multi-award winner of the Make it Legendary award for obtaining extraordinary results assisting clients.
  • International trader, utilized the Bloomberg terminal on a daily basis and placed trades for clients in markets all over the world.
  • Reduced bank losses by setting successful risk management policies.
  • Completed sales order tickets and processed client-requested transactions.

Education

Bachelor of Commerce Degree (Honours) - Finance Major & Accounting Minor

University of Ontario Institute of Technology
Oshawa, ON
04.2019

Skills

  • Excellent client relationship skills
  • Self-motivated and fast learner
  • Excellent verbal and written communication skills
  • Strong attention to detail
  • Organizational skills and ability to multitask
  • Customer focus
  • Escalation management
  • Problem resolution
  • Technical troubleshooting

Certification

  • Canadian Securities Course (CSC)
  • Conduct and Practices Handbook Course (CPH)
  • Derivatives Fundamental and Options Licensing Course (DFOL)
  • Trader Training Course (TTC)
  • Investment Advisor Training Program (IATP)
  • Bloomberg Market Concepts Course

Timeline

Compliance Officer

Scotiabank
04.2022 - Current

Financial Planner

TD Wealth FP Direct
04.2020 - 04.2022

Investment Representative / International Trader

TD Direct Investing
02.2018 - 04.2020

Bachelor of Commerce Degree (Honours) - Finance Major & Accounting Minor

University of Ontario Institute of Technology

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Easton Reid