VIVEK BHATT, FINANCIAL CONSULTANT

VIVEK BHATT

FINANCIAL CONSULTANT

SUN LIFE ASSURANCETILL 2003 THEN W.H.STUART MUTUALS LTD

Location
Canada
Education
Diploma, Chief Compliance Officers Qualifying Examination
Experience
42 years, 2 Months

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Work Experience

Total years of experience :42 years, 2 Months

FINANCIAL CONSULTANT at SUN LIFE ASSURANCETILL 2003 THEN W.H.STUART MUTUALS LTD
  • Other
  • My current job since August 2001

Advisor for Life insurance, Segregated Funds and Mutual Funds.

CONSULTANT-COMPLIANCE & RISK MANAGEMENT at CONSULTANT
  • Canada
  • My current job since July 2007

RISK MANAGEMENT

Advised and managed corporate clients' risk by conducting risk assessments and selecting suitable risk management techniques.

Advised on risk control, especially pertaining to loss prevention and reduction; reduced client premiums in view of adhering to risk management techniques.

Advised on risk transfer and risk financing. Clients were able to identify their own 'risk apetite' and retained optimum level of risk and transferred other risk through insurance or other contractual clauses.

COMPLIANCE

Established a 'culture of compliance' throughout the corporation.

Achieved maximum exployee participation and co-operation towards maintaining a compliance regime, through appropriate training.

Reduced exposure to 3rd party liability and regulatory authority actions by adhering to a compliance regime.



Trained staff and created and maintained a culture of risk management and compliance.

ADVISOR at SUN LIFE ASSURANCE TILL 2003, THEN INDEPENDENT ADVISOR
  • Canada
  • My current job since January 2000

Life and Health Insurance business development.

FLIGHT DISPATCHER at EMIRATES AIRLINES
  • United Arab Emirates - Dubai
  • July 1994 to April 1998

• FAA Aircraft Dispatcher License since 1991; trained on LIDO and SITA flight planning systems; conducted Meteorological analysis from weather charts and forecasts, assessed Notams, and planned and selected the optimum route for operational efficiency. Co-ordinated with Air Traffic Control, Meteorological office, relevant departments such as Flight Operations, Navigation, In-Flight Services, Load Control, Commercial, Cargo, Planning, reservations etc. Assisted Sr. Manager Network Control in all operational functions, monitored the progress of the flights for safe, efficient and economical operations, and actively participated in operational projects on fuel management, operations administration, and flight dispatcher training, among others. Familiar with FRMS, SMS, IOSA Program, Standards and Audit Manuals.

FLIGHT OPERATIONS OFFICER at EAST WEST AIRLINES
  • India - Mumbai
  • May 1992 to June 1994

managed all aspects of the Flight Operations Department functions, including Flight Planning.

TRAINEE FLIGHT DISPATCHER at INDIAN AIRLINES
  • India - Mumbai
  • January 1992 to April 1992

Worked as an apprentice in the Flight Operations Department.

SENIOR FLIGHT STEWARD at EMIRATES AIRLINES
  • United Arab Emirates - Dubai
  • May 1987 to October 1990

Ensured that all Flight Attendants were well aware of the Safety and Emergency procedures and First Aid; motivated crew to provide highest standard of service and compliance to laid-down procedures to ensure that passengers received the highest standard of in-flight service. Supervisory duties included periodic crew appraisals, solicit crew feedback and report to the IFS Manager, conduct pre/post flight crew briefing/de-briefing. Through Quality Circles, interacted with IFS senior management and other department representatives; provided valuable feedback on menu preparation resulting in significant cost savings to the airline; and also made critical suggestions to enhance safety and service standards and optimize operational costs.

FLIGHT PURSER at INDIAN AIRLINES
  • Other
  • December 1981 to May 1987

Ensured that all Flight Attendants were well aware of the Safety and Emergency procedures and First Aid; motivated crew to provide highest standard of service and compliance to laid-down procedures to ensure that passengers received the highest standard of in-flight service. Supervisory duties included periodic crew appraisals, solicit crew feedback and report to the IFS Manager, conduct pre/post flight crew briefing/de-briefing. Through Quality Circles, interacted with IFS senior management and other department representatives; provided valuable feedback on menu preparation resulting in significant cost savings to the airline; and also made critical suggestions to enhance safety and service standards and optimize operational costs.

STOREKEEPER at INDIAN AIRLINES
  • India - Mumbai
  • May 1979 to December 1981

Invesntory Control, Stockroom receipts and issues, Purchases.

Education

Diploma, Chief Compliance Officers Qualifying Examination
  • at Canadian Securities Institute
  • July 2010

Course content included the Role of Compliance and the Compliance structure, Compliance Risk Management, Regulatory Environment, making Ethical Decisions, Development of Policies and Procedures, Monitoring and Compliance Audits, Handling Client Complaints, Investigations, Establishing a Culture of Compliance.

Diploma, Canadian Risk Management
  • at Global Risk Management Institute
  • July 2007

Through the University of Toronto completed the required 3 courses in Risk Assessment, Risk Control and Risk Finance.

Diploma, General Insurance
  • at Insurance Institute of Canada
  • October 2005

Completed the educational requirements for licensing as Registered Insurance Broker of Ontario.

Diploma, Mutual Funds
  • at Investment Funds Institute of Canada
  • July 2002

Completed the required educational requirements for dealing in Mutual Funds

Diploma, Level 1 & 2 Life Insurance License.
  • at Canadian Association of Insurance and Financial Advisors
  • March 2000

passed the educational requirements for licensing as Life Insurance Advisor.

Bachelor's degree, Bachelor of Commerce-Financial Management, Accounting and Auditing.
  • at University of Bombay
  • April 1995

Completed the educational requirements for the B.Com program.

Diploma, Aircraft Dispatcher Program and Airline Operations Training Course
  • at Sheffield School of Aeronautics
  • August 1991

Completed the educational requirements for obtaining the U.S.A. F.A.A. Aircraft Dispatcher License.

Diploma, Aircraft Dispatcher License.
  • at Federal Aviation Administration
  • August 1991

passed with 96%+ the examinations leading to the Aircraft Dispatcher License.

Specialties & Skills

Compliance Management
Risk Management
Insurance Management
Mutual Funds
Compliance and Risk Management
Supervisory Management
Business Development

Languages

Arabic
Beginner
French
Beginner
English
Expert
Hindi
Expert
Gujarati
Expert
Marathi
Intermediate

Memberships

Global Risk Management Institute
  • Member
  • July 2007
Independent Financial Brokers of Canada
  • Member with Voting Rights.
  • January 2005
Insurance Institute of Canada
  • Member
  • February 2006
Registered Insurance Brokers of Ontario
  • Member
  • October 2005

Training and Certifications

People Achieving Results-Sales Techniques. (Certificate)
Date Attended:
July 2002
Valid Until:
July 2002