Cindy Luu

Experience

• 

  TD

  Jan 2014 - now

  Lead a group of Direct Investing Account Opening (DIAO) Investment Representatives specialized in the account opening, client onboarding and acquisitions strategy. Supported the re-opening of the team and on going strategy implementation for the future of team. Team has been recognized as one of the most efficient and client obsessed teams. Supported the road map and change management for the team including partner discussions on risk mitigation, enhancing colleague/client experience and expanding market share to further enhance the specialized aspect of our team branding. Previously won quarterly Merit for leading the top team in Direct Investing. Show less As part of Business Process Management, ITSS Governance & Control, I've had the pleasure of supporting the Retail Investing, Financial Planning Direct and Direct Investing businesses. These 3 businesses encompass approximately 500 processes and procedures. I've supported the successful launch of many Wealth projects and initiatives, adhoc requests, as well as audit remediation requests including IIROC findings. In the role, I had the opportunity to work with many Senior Leadership members, as well as different partners throughout the bank. Some client initiatives I've supported include TD GoalAssist a lower cost trading platform, as well as EasyApply an online platform for clients to open their trading accounts virtually. I've also had the opportunity to propose and change irritants found within the applicable businesses. All in which, keeping in mind the overall client and colleague experience. The changes I've proposed has lead me to win two quarterly League of Excellence awards. Show less

  • Manager Governance and Control

    Mar 2023 - now

  • Governance and Control Analyst III

    Jan 2023 - Mar 2023

  • DIAO Team Manager, WCC Specialized and Acquisitions, TD Wealth Management

    Mar 2021 - Jan 2023

  • Business Process Analyst

    May 2018 - Mar 2021

  • Financial Planning Associate, TD Wealth Financial Planning

    Nov 2015 - May 2018

  • Financial Services Representative

    Dec 2014 - Nov 2015

  • Customer Service Representative

    Jan 2014 - Nov 2014