COMPLIANCE & RESEARCH
AFCANA GROUP FINANCIAL SERVICES INC.
Total years of experience :34 years, 11 Months
• Assisted the firm’s clients comply with the regulatory requirements by preparing their compliance regime manuals,
• Offering compliance certification by reviewing The Financial Company’s internal control, compliance policy and procedures and assisted senior manager to build enterprise-wide compliance culture.
• Arranged the firm’s clients an on-going training program for their employees, agents and senior management through personal presentations. I have developed training materials which addressed the required guidelines of the Canadian/USA regulations.
• Ensured that the firm’s clients “financial services entities” comply with the Canadian Proceeds of Crime (Anti-Money Laundering) and Terrorist Financing Act and the Patriot Act/BSA in the USA.
• On behalf of firm’s clients, I have directly worked with number of State financial regulators “Division of financial institutions” in USA and Financial Transactions and Reports Analysis Center of Canada “FINTRAC”, drafted action plans, set goals and time lines and assisted to correct any regulatory compliance deficiencies.
• Advised Bank’s clients with their investment needs by offering up to date market information, execute trades through main exchanges “TSX, NASDAQ, AMEX, DJIA and other junior markets.
• Attended Committee meetings with senior Bank Manager’s investment product development and IPO marketing
• Assisted the Bank’s clients to structure a viable and disciplined investment portfolio through investment risk tolerance mechanism, ensured clients gain highest return possible while working within risk/return parameters.
• Responsible for monitoring risk-exposure to client’s Investment accounts while offered diverse investment and trading opportunities.
• Gained extensive knowledge in Securities and Investment Products.
• Responsible for specific client’s investment accounts, assist with their Treasury needs; including personal accounts, institutional accounts, Estate and Trust accounts.
• offered clients to invest in a diverse short term investment products
• Pioneered and promoted Bank’s efforts to introduce to the Canadian investors the opportunity available in investing less known short term Mutual funds investment relative to other short term treasury products.
• As a result of my effort, I maintained leadership role to help TD Asset management “wholly owned subsidiary of Toronto Dominion Bank” to become one of Leading fund Management Company in Canada.
Certified Anti-Money Laundering Specialist Association of Certified Anti-Money Laundering Specialists (December. 2005- March. 2006) • Specialization in financial industry regulatory requirement inherent in the AML/ATF laws. • Global combat against predicate offences in the financial and securities industry
Certified Investment Manager Canadian Securities Institute, Toronto, Canada • Specific educational curriculum designed to specialize in the securities industry
ECONOMICS CARICULUM DESIGNED TO SPECIALIZE MACRO-MICRO-ECONOMIC SYSTEMS AND FUNCTIONS, GPA. 2.5