John Ilumin Luis, Cim® Email & Phone Number

Toronto, ON, CA

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Through RBC Dominion Securities, I serve the financial goals of businesses and high-net-worth clients using strategic portfolio management and financial planning that is tailored to each individual and business client. Considering the complexities of managing wealth, I work alongside my client's professional networks including their accountants and.

Toronto, Ontario, Canada

• Reviewed mutual fund accounts and transactions for approval prior to account opening and trade execution. Transactions and client accounts were reviewed to ensure compliance with industry regulations and investment.
• Supervised the sales practices of Financial Advisors and provided guidance from a regulatory and compliance prospective.
• Completed branch audits for 20 separate offices and recommended optimal business practices for Financial Advisors to minimize compliance risk and help with generating new business.
• Collaborated with Senior Management in creating the standard process for client interactions and document submissions in response to Covid-19.
• Presented on branch processes and business practices to all branches within the firm.
• Worked and interviewed with regulators such as the MFDA to complete accurate filings and maintain compliance.

Toronto, Ontario, Canada

• Conducted data analysis on Excel to reconcile account generations, transfers, and commission payments using pivot tables, v-look ups, and "if/or" functions.
• Uncovered and resolved data deficiencies which avoided monetary losses. Presented data analysis to the department manager and AVP which lead to improving department processes.
• Liaised with institutional clients and branch managers regarding product information and commission generation. Reported to the accounting department to ensure accuracy in releasing commission payments.
• Trained new hires on proprietary software and Excel reporting processes.

Mississauga, Ontario, Canada

• Provided analytical and administrative support for retail investors regarding documentation requirements and trading strategies. Supervised asset transfers through 3rd party transfer agents using ATON and Computershare.
• Investigated delays in trade order entries and cooperated with IT support and Sungard to monitor possible latency issues and market quote errors within the trading platform and market streamer.
• Resolved risk management issues regarding over-concentration in lower priced equities and cash management issues relating to margin deficiencies and pending trade orders.
• Handled client issues involving corporate reorganizations, unreconciled trade orders, and responded to inquiries regarding mutual fund transactions (i.e. redemptions, switches, and purchases).
• Educated clients on various order types and the functionality of the trading platform.

Toronto, Ontario, Canada

• Conducted financial assessments for clients to advise them on mutual fund investments, small business financing, mortgages, and wealth management services.
• Voted Top Advisor from 2009 to 2012 for highest sales volume towards single fund solutions and prescribed mutual fund portfolios as well as the highest in closed wealth referrals.
• Guided TD Waterhouse Discount Brokerage clients through their account statements, fee structure and transactions. Initiated open tutorials for clients that were new to the trading platform. This initiative increased.
• Completed credit analysis for real estate lending and worked with clients towards strengthening their loan applications as well as guided them through the adjudication process. This approach increased family referrals.

Bachelor Of Arts - Ba, English Literature

Education record

Chartered Investment Manager

Cfa Candidate