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About Nghi Luu

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Nghi Luu is currently living in Ontario, and is interested in Real Estate.
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Location

Ontario

Categories of Interest

Real Estate

Company Size

1000+

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NGHI LUU
93 Pond Drive, Thornhill, Ontario L3T 7V5
Tel. H (905) 762-0409, Cel. (416) 219-8303, Email:luu.nghi@gmail.com
PROFILE

Analytical and result-oriented financial professional with more than seven years experience in the financial services with expertise in brokerage trading, regulatory compliance, risk management, insurance sale, and investment operation. Experienced trader with strengths in sale, marketing, trading compliance, employee management, training and development, team collaboration, and client oversight, recognized for service excellence and team alliance.

Core Knowledge & Skills Areas:
Compliance Management Trading & Financial Management
Project Management Client Service Excellence
EDUCATION

Bachelor Degree of Commerce (Finance) University of Toronto, Ontario
Bachelor Degree of Science (Biochemistry) University of Ottawa, Ontario

Professional Development Courses/Seminars

Operational Risk Management (RBC Financial Group Inc., Toronto, Ontario)
Developing People Management Competencies (RBC Financial Group Inc., Toronto, Ontario)
Managing Change & Growth (RBC Financial Group Inc., Toronto, Ontario)
Canadian Insurance Course (CSI, Toronto, Ontario)
Canadian Securities, Conduct & Practices, Canadian Options (Canadian Securities Institute)

Computer Skills Foreign Exchange Simulator, Lotus 123, WordPerfect 5.1, Microsoft Word, Excel,
Outlook, VNIWord, ILX, BTS, AOM, BERTON, and OTIS

PROFESSIONAL EXPERIENCE

Work in team with staffs and clients to:

 receive the Top Sales Agent award for life and disabilities insurance and financial services;
 effectively monitor reorganization trading compliance for telephone and online trading centers; and
 successfully implement continuous business improvement programs to retain high net worth clients and attracting new business through sale negotiations.

TRADING & COMPLIANCE MANAGEMENT

Oversaw daily operations through a team of high-performance financial service representatives dedicating to high net worth clienteles
Reviewed trading reports daily to ensure all trades were in compliance with internal and external policies, guidelines, rules, and regulations
Minimized risk of large trading losses and compliance violations by reviewing trades throughout the day and taking pre-emptive, corrective actions on erroneous trades
Selected as a member of The Operational Risk Management Focus Committee. Reviewed, studied, analyzed and proposed solutions that reduced and eliminated all inherent compliance, and operational risks at centers
Managed the Royal Circle trading team dedicating to high net worth clients, always exceeded customer service excellence targets. Retained high-end clients and attracted new business through sale negotiation
Translated complex reorganization materials into simple, easy to understand language for Telephone and Online Trading staff and clients
Minimized risk of trading exposures by ensuring staff and clients are clearly informed and updated of all time-sensitive reorganization compliance materials
Trained 30 new Team Leaders and Investment Representatives on sale, trade, system applications, compliance policies and procedures
Collaborated across the organization with seasoned service managers to provide expertise on critical issues and service matters
Vetted and forward potential group insurance sale lead to corporate group division
Identified and forwarded a large corporate group investment account sale lead to Marketing Department in RRSP Campaign. Brought forward protocols to identify future potential new group accounts


FINANCIAL AND PROJECT MANAGEMENT

Served as the treasurer and member of board of directors for the Vietnamese Zen Buddhist Meditation Centre
Lead a team of planner, surveyor, and environmental consultants on land development project
Champion for the Official Plan Amendment, Zonning, and Site Plan Approval Applications for Centre
Set up a new computerized accounting tracking and financial reporting system for the Zen meditation centre that complied with Charity Acts
Performed treasury duties which include fundraising, managing donated funds, accounts payables/receivables, and filing tax records
Prepared monthly financial reports for submission to the Board of Directors of the Zen Meditation Centre
Teamed up with other volunteers to collect more than $100,000 funds for building a Zen Meditation Centre and paying off the debt one year ahead of schedule
Raised extra funds ($80,000) for construction projects to build the Zen garden, meditation huts, and the walking trails
Negotiated with suppliers, contractors for better products and services
Helped to develop and expand the centre facilities to accommodate growth in membership


WORK EXPERIENCE

TREASURER T.V. Zen Buddhist Meditation Centre, Mount Albert, Ontario
(2004 - Present)

TELETRADING TEAM LEADER RBC Action Direct Inc., Toronto, Ontario
(1997 - 2003)

INVESTMENT REPRESENTATIVE TD Waterhouse Inc., Toronto, Ontario
(1996 - 1997)

FIELDS UNDERWRITTER Canada Life Assurance Company, Toronto, Ontario
(1996 - 1997)

Excellent References Available Upon Request

Quick Profile Summary

Nghi Luu
Name: Nghi Luu
Link: http://www.salespider.com/p-12047554/nghi-luu
Location: Ontario,Canada

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Nghi Luu
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