Sophie Lei Liu
Burnaby,BC
Summary
Successful Financial Planner with over 10 years of experience. Proactive in building client relationships and providing comprehensive strategies for growing wealth. Personable candidate committed to helping clients meet financial goals. Extensive experience developing and implementing investment strategies tailored to clients' individual needs and objectives. Passionate about providing sound financial advice and helping clients reach financial goals.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Wealth Planner
Vancity
03.2022 - Current
- Conducted periodic reviews of client portfolios to ensure continued alignment with stated goals and market conditions.
- Maintained up-to-date knowledge of industry trends, regulations, and emerging products to provide informed advice to clients.
- Assisted clients in setting realistic financial goals and developing action plans to achieve them over time.
- Developed comprehensive financial plans for clients, addressing investment management, insurance needs, tax planning, and retirement goals.
- Built strong relationships with clients through regular communication and personalized service, resulting in increased client retention rates.
- Developed tax-efficient strategies for clients that minimized liabilities while ensuring compliance with applicable laws.
- Maintained a high degree of professional ethics and integrity by strictly adhering to industry regulations and guidelines.
- Collaborated with clients to develop customized investment portfolios.
- Provided support during major life events such as marriage or divorce by assisting clients with necessary financial adjustments.
- Enhanced overall firm performance through active participation in strategic initiatives aimed at improving the client experience and increasing profitability.
Financial Advisor
Blueshore Financial (Burnaby Branch)
09.2018 - 03.2022
- Built strong relationships with clients, fostering trust and loyalty in managing their financial portfolios.
- Holding and servicing the largest book of business among my peer Financial Advisors at Blueshore
- 500% over investment targets; 1500% over credit target
- Developed comprehensive financial plans for clients to achieve short-term and long-term goals.
- Demonstrate leadership by providing weekly coaching activities to advisory assistants
- Collaborated with team members to streamline processes and improve overall client experience.
- Upgraded and polished financial planning service abilities upon completion of CFP advanced educational program.
- Identified opportunities for business growth by networking, attending industry events, and generating referrals from satisfied clients.
- Assisted high-net-worth individuals in wealth preservation through estate planning services and charitable giving strategies.
Financial Service Associate III
Blueshore Financial (West Broadway Branch)
12.2016 - 09.2018
- Strong sales results
- Far Exceed investment annual target($13.5 Mil) by +1000% and net credit target ($8.15 mil) +800%
- CUMIS insurance (+$19k) +250% Target in year 2017
- Provide excellent client services to unassigned clients and implement Blueshore's Four Pillars approach
- Generate quality referrals to Financial Advisors
- Demonstrate leadership by providing weekly coaching activities to FSA1s and assist with branch opening and closing procedures
- Solid knowledge for retail lending, investment products
- Monthly Job shadowing with MFS.
Financial Service Associate II
Blueshore Financial (Lonsdale Branch)
02.2016 - 11.2016
- Strong sales results
- Exceed investment annual target by +300% YTD and net credit target
- Ability to build a solid relationship with clients by consistently utilizing the 'lifespring' tool
- Generate quality referrals to Financial Advisors.
Financial Service Representative
TD Bank (Branch 0568 and 0044)
07.2015 - 02.2016
- Consistently achieved and exceed business sales goal
- Ability to structure complex credit applications including Mortgages, Personal Loans, and Lines of Credits and Credit card
- Provide a variety of investment solutions that tailored to clients' needs and identify additional business opportunities
- Proactively generate quality Wealth referrals to peers at TD Wealth Management
- Perform dual diligence when reviewing customer profiles
- Make sure of all compliance and KYC KYT procedures
- Received positive feedback consistently from customers
- Coach the peers to have effective sales conversations to generate more qualified referrals and better sales results
- Chose by the management team as a closing senior.
Customer Service Representative
TD Bank (Branch 9474)
08.2014 - 07.2015
- Strong sales skills
- Exceed Net Sales Goal by +783% YTD and referral 4.2 Units /day YTD
- Rank #1 in TD Vancouver Core district for two quarters
- Mentored front-line piers by sharing sales tips and tactics and customer service skills to achieve the branch goals
- Assisted branch's opening and closing as a junior secure desk officer.
Sales Coordinator
TPI Silkway(Division of JTB International Canada Ltd)
12.2013 - 06.2014
- Responsible for negotiating contracts and developing relationships with vendors and customers
- Provide clients accurate and quality services
- Implemented cost-saving measures and maximized profit from each sale.
Education
Economics
UNIVERSITY OF BRITISH COLUMBIA
CFP -
Certified Financial Planner
12.2021
Skills
- Teamwork orientation
- Client Relationship Development
- Continuing education
- Wealth Management and Asset Allocation
- Budgeting expertise
- Investment Consulting and Planning and Portfolio Analysis
- Estate Planning
- Client Engagement
- Financials Analysis
Volunteer Experience
- Member of Ascend Canada - Pan Asian Pacific Leaders Canada
- Active member with Taiwan Young Entrepreneur association
- Extensive business relationship with young professional lawyers with Collingwood Law office
- Active Member at Canadian Inbound Tourism Association
- Event organizer at the Asia Pacific (CITAP) Association
- Friends of the Environment 2015; Participated in TD Tree Days
Languages
English
Native or Bilingual
Chinese (Mandarin)
Native or Bilingual
Certification
- Certified Financial Planner
- Responsible Investment Specialist
Timeline
Wealth Planner
Vancity
03.2022 - Current
Financial Advisor
Blueshore Financial (Burnaby Branch)
09.2018 - 03.2022
Financial Service Associate III
Blueshore Financial (West Broadway Branch)
12.2016 - 09.2018
Financial Service Associate II
Blueshore Financial (Lonsdale Branch)
02.2016 - 11.2016
Financial Service Representative
TD Bank (Branch 0568 and 0044)
07.2015 - 02.2016
Customer Service Representative
TD Bank (Branch 9474)
08.2014 - 07.2015
Sales Coordinator
TPI Silkway(Division of JTB International Canada Ltd)
12.2013 - 06.2014
Economics
UNIVERSITY OF BRITISH COLUMBIA
CFP -
Certified Financial Planner
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