Tu Nguyen (Winnie) Tran
Vancouver,Canada
Summary
Senior Associate at ScotiaMcLeod with over 8 years of extensive experience in the finance industry. Robust background in finance and exceptional customer service skills. Trusted team member and expert analyst. Passionate about researching and analyzing the stock market, thriving on uncovering trends and making data-driven decisions. Attention to detail and analytical prowess ensure meticulously crafted recommendations. Core strength in time management, handling multiple projects with precision and efficiency. Fluent in English, Mandarin, and Vietnamese, excelling in communication and effortlessly bridging gaps to build strong relationships with a diverse clientele. Adaptable and quick learning ability, navigating the ever-evolving financial landscape with ease.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Senior Associate
ScotiaMcLeod
11.2022 - Current
- Develop and maintain relationships with clients, answer their inquiries, utilize in-depth knowledge of products and services, provide them with timely investment recommendations, and effectively communicate complex financial concepts, resulting in successfully obtaining additional assets and higher client satisfaction and retention
- Conduct in-depth financial analysis and valuation of multiple financial products to build portfolio proposals and investment models for existing and prospective clients, ensuring that the Advisor’s investment strategy is used to implement client objectives
- Present research findings, monitor clients' investment portfolios, analyze market movements using technical analysis, and recommend the appropriate trading strategy to the Advisor, assuring timely and informed investment decisions are made
- Build effective working relationships across the team and with various business lines and corporate function contacts, review practices to ensure administrative processes are streamlined and administrative tasks being completed, and establish and distribute client reports and marketing pieces
Administrative Associate/Registered Representative
ScotiaMcLeod
03.2018 - 11.2022
- Deliver a high level of client service by reviewing the portfolio to meets the current or updated risk profile, gathering research and product information from internal and external sources, and entering client trades as directed by client or Advisor
- Assure effective client administration by following up with clients on missing required documents, checking daily trades and all system entries in accounts for timeliness and accuracy, responding to client inquiries and resolving issues that effecting client transactions in a timely, responsive, and accurately manner, and issuing instructions for client withdrawals, deposits, and transfers according to client or Advisor instructions
- Support the growth of the Advisor by reviewing and reducing all restricted accounts, reviewing the daily commission reports ensuring the suitability of client trades are in line with their objectives and risk tolerance and commissions are charged correctly, and building customize reports for the team to improve administrative efficiencies
- Assisting Advisor in the development and preparation of client's proposal and annual review by analyzing, preparing, and presenting information to the Advisor for review including reports and recommendations
Administrative Assistant
ScotiaMcLeod
03.2017 - 03.2018
- Ensured a high level of non-trade client service by answering phones and greeting clients, processing client requests, account transfers, deposits, withdrawals and payments, requests for tax receipts and account reporting, and responding to client inquiries and issues in a timely, responsive manner and escalating to Advisors when appropriate
- Assisted Advisors with client meetings by preparing printed materials, and following up and entering notes in contact management system
- Provided administrative support by opening accounts, processing and following up on account documentation, ordering marketing materials, and maintaining client files and information on the appropriate systems
Advancing Specialist
CIBC
06.2016 - 01.2017
- Working with solicitors, mortgage advisors, and underwriters to fulfill their requests through phones and emails, receive, review, and analyze incoming documentations to validate and verify for further processing, send legal documents to solicitors, and set up for mortgage funding
- Maintained customer's satisfaction through prioritizing and organizing workload based on risk/severity to ensure deadlines are met according to policies and procedures
- Increased the number of successful deals by delivering fast response to rush deals, assisting branches/mortgage advisor/solicitors with their concerns, and managing tasks to meet work-place demands in a timely manner
Mortgage Support Specialist
CIBC
11.2015 - 06.2016
- Receive and review incoming documentation, and process transactions on the appropriate systems to ensure client information is updated
- Escalated the number of processed deals by meeting the target or beyond through having an ability to learn and adapt quickly and efficiently, paying high attention to details, delivering high level of concentration and accuracy, and assisting co-workers with their concerns and problems about procedures and guidelines
- Establish strong relationship with mortgage advisors by helping with their requests, communicating with them through phones and emails regarding files, and advising them how to make changes to get the deals done on time or faster
Education
Bachelor of Commerce with Honours - Finance and International Business
The University of British Columbia
Vancouver, British Columbia05.2015
Skills
- Proficient in Microsoft Office
- Analytical
- Customer service
- Time management
- Attention to detail
- Computer skills
- Teamwork
- Problem-solving
- Multitasking and organization
- Adaptability and flexibility
- Verbal and written communication
- Research/Product knowledge
Languages
English
Full Professional
Chinese (Mandarin)
Full Professional
Vietnamese
Native or Bilingual
Certification
CIRO Registered Representative
Timeline
Senior Associate
ScotiaMcLeod
11.2022 - Current
Administrative Associate/Registered Representative
ScotiaMcLeod
03.2018 - 11.2022
Administrative Assistant
ScotiaMcLeod
03.2017 - 03.2018
Advancing Specialist
CIBC
06.2016 - 01.2017
Mortgage Support Specialist
CIBC
11.2015 - 06.2016
Bachelor of Commerce with Honours - Finance and International Business
The University of British Columbia
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