1. Elizabeth D`Souza
9 Ashford Court
Brampton ON L6V 3E2
647 719 5757 summer00815@yahoo.ca
SUMMARY
Certified professional with over 13 years of work experience in the Financial Industry, covering
from Brokerage Trade, Compliance, to Creditor Sales, possess Strong Market Analysis,
Customer Services Management, Effective Team Player, and Good Communication skills.
PROFILE
 Increased repeat sales to 113% by analyzing consumers’ feedback and implementing it
towards product and service quality improvement,
 Effectively performed compliance review on trade blotters i.e. insider trading etc.
 Complete LLQP license exam in 2016 program graduate from Humber College
 Analyzed client’s documentation in order to mitigate risk, keeping abreast with rules and news
pertaining to Global KYC and AML Procedures
 Tracked and reported all documentation breaks to onboarding team
 Daily reviewed reports on deposit exceeding authorized limits, negative balance, trade
exceeding clients’ risk threshold, performed random check for accounts opened, in
different country’s jurisdiction i.e. sanction countries etc.
 Successfully completed in house anti-money laundering and terrorist financing training
 Extremely knowledgeable and familiar with stock market and research on equities
 A collaborative team player with the ability to foster excellent relationships with
management and peers
 Strong analytical and excellent communication skills
PROFESSIONAL EXPERIENCE
Risk Analyst (contract)
Oanda Canada (forex trading) (2015to2016)
 Worked on KYC & AML reports
 Daily reviewed reports on deposits exceeding authorized limits, negative balance, trade
exceeding clients’ risk threshold, performed random check for accounts opened, in
different country’s jurisdiction i.e. sanction countries etc.
 Perform the required KYC screening on existing clients by documenting the information
obtained on the clients, as required by the Global KYC Procedures and utilizing a variety
of independent research resources
 Analyzed client’s documentation in order to mitigate risk, keeping abreast with rules and
news pertaining to Global KYC and AML Procedures
 Maintain detailed records on clients for second-level review
 Tracked and reported all documentation breaks to onboarding team

2. Elizabeth D’Souza p.g.2
647 719 5757
Investment Representative
TD Direct Investing (Toronto) 2003 to2014
Trading Desk
 Assisted clients with different queries such as research on equities, name change, halt
trade, stock split, earnings, dividends, headlines on latest business news, future market
pricings, etc. stock trading price, quotes on different financial instruments such as gold,
silver, bonds equities oil etc.
 Inform clients about their account status such as balances margin, cash transfers etc.
 Placed trades for clients such as stocks, bonds, options trading etc.
 Processed cash transfer for clients. Educated clients as and when needed on cash transfer
procedures and their limits allowed
 Placed orders for foreign exchange conversations for clients
 Informed clients about their Retirement Income fund balances and calculated their
retirement payment amount, also helped clients with their T4RIF slips
 Helped clients with their RSPs and TFSAs contribution and clients` respective limits
allowed during the year
Compliance Dept (loan out position)
 Checked high closing on trading of financial instruments placed by regular clients
 Checked trading blotter to make sure trades were placed meeting the regulatory standards
 Distributed trading reports and initiated queries on findings with the respective
department
 Followed internal procedures to flag client`s accounts for any suspicious activities
 Checked trading blotters to make sure trades were placed meeting the regulatory
standards i.e. high closing, manipulation price etc.
 Reported insider trading to supervisor following Toronto stock exchange and
department’s policy dealing with sensitive educational procedures
 On hands knowledge of due diligence, know your client rules etc. (kyc, edd)
 Successfully completed in house anti-money laundering and terrorist financing training
EDUCATION
Life License Qualification Program Humber College, Ontario: completed - 2016
Bachelor of Commerce, Karachi University, Karachi, Pakistan
ADDITIONAL CERTIFICATES
 Canadian Securities Course - Canadian Securities Institute - 2003
 Conduct & Practice Handbook Course - Canadian Securities Institute - 2004-2005
 Derivatives & Options Licensing Course - Canadian Securities Institute - 2004-2005
 Paralegal Diploma Program - Herzing College Toronto, 2007-2008