Dedicated Management Professional with solid background in Compliance and Financial Services eager to contribute talents toward supporting a dynamic organization in achieving business goals and objectives.
- Offer 10 years of experience in investment and financial services with considerable talents in providing financial guidance, direction and advice.
- Well-versed in U.S. compliance regulations and standards for the financial services industry.
- Proficient at interpreting laws, regulations and statutes, investigating complaints and violations, and conducting gap and risk analysis.
- Excel in establishing, implementing and administering comprehensive compliance programs for mutual fund companies.
- Significant skills in staff training, development and management.
- Outstanding skills in policy and protocol development, conducting internal compliance audits, and ensuring adherence to Sarbanes Oxley (SOX) criteria.
4Freedom Real Estate Inc., Brampton, Ontario, 2007 to Present
- Founded, launched and spearhead daily operations of real estate investment company comprised of a real estate brokerage company and real estate investment club.
- Research, investigate and pursue real estate acquisition opportunities in Canada, the Caribbean and Southeast Asia that provide high yield revenues, great growth potential and/or deep discount pricing.
- Resourcefully leverage bulk buying power to help investors secure below-list prices and favourable purchasing conditions.
- Demonstrate exemplary portfolio management expertise to facilitate sale of single residential and low-rise multi-residential properties, condos, commercial properties and condo-hotels.
- Formulated and implemented comprehensive strategic business plan to establish, provide and promote an innovative one-stop-shop for real estate investors.
Keybase Financial Group / Argosy Securities Inc., Toronto, Ontario, 2004 to 2006
Chief Compliance Officer (2006)
Compliance Manager (2004 to 2006)
- Devised operating policies and procedures to ensure compliance by 120+ independent advisors as well as sister company Argosy Securities with MFDA (Mutual Fund Dealers Association) and CSA (Canadian Securities Administrators) requirements.
- Formulated and implemented compliance control strategy for both firms plagued by unfavourable compliance audit findings and a change-resistant corporate culture.
- Applied sharp critical thinking abilities toward creating new suitability and risk assessment tools, compliance procedures manuals, anti-money laundering policies, and internal audit processes.
- Completed nationwide field audits and recommended specific measures to improve documentation and compliance control.
- Proactively educated, mentored and trained financial advisors and branch managers in effectively adhering to regulatory and corporate standards and compliance expectations.
- Achieved near 100% dealer retention during transition and substantially increased branch compliance.
Professional Experience continued ... Ravinder Tulsiani, Page 2 of 2
E*TRADE Canada Securities Corporation (formerly Versus Brokerage), Toronto, Ontario, 2000 to 2004
Quality Assurance Specialist (2003 to 2004)
Team Leader (2000 to 2003)
- Quickly advanced from initial Associate position based on proven leadership attributes and awarded subsequent promotion to most recent role as Quality Assurance Specialist.
- Established, instituted and enforced effective customer service strategy for telephone and email inquiries and requests.
- Played an integral role in improving E*TRADE s ranking from 10th to 2nd place nationwide for customer satisfaction among brokers.
- Analyzed and fine-tuned responses to Frequently Asked Questions to optimize consistency and clarity.
- Successfully expedited average email response to customers from 1 week to less than two days.
- Oversaw SOX 404 documentation on internal controls for Trading department following acquisition of Versus Brokerage by US-based E*TRADE Securities.
- Seamlessly collaborated with Compliance department to swiftly rectify escalated client complaints and ensure strict conformance to IDA standards.
- Exhibited excellent presentation skills in assembling and delivering 30-day IR Trading training program for all new hires.
● ● ●
Prior background includes roles as Financial Advisor and Account Manager
for CIBC Wealth Management and Imperial Service.
Bachelor of Arts Degree in Law, Carleton University, Ottawa, Ontario, 1997
Fellow, Canadian Securities Institute (FSCI most senior designation)
Extensively trained in areas such as:
o Financial Markets Risk Management
o Options Supervisor s Course
o Canadian Insurance Course
o Options Licensing Course
o Derivatives Fundamentals Course
o Partners, Directors And Senior Officers Course
o Branch Manager s Course
o Professional Financial Planning Course
o Canadian Securities Course
o Conduct & Practices Handbook
o Ethics Seminar
o Portfolio Management Techniques
Licensed Investment Representative
Hiring Agent Name
I am currently seeking a challenging career opportunity in a <INSERT JOB TITLE> capacity and am submitting my resume for your review. In advance, thank you for your time and consideration.
As indicated in the accompanying resume, I offer a solid background in legal compliance, proficiency in steering quality assurance and control, and considerable expertise in team-building and leadership, interpreting complex laws and regulations, policy and procedure development, and providing strategic financial recommendations and guidance. To complement these qualifications, I offer strong experience in conducting internal audits and driving corrective actions and improvements.
As a proactive contributor to your organization, you will find me to be a driven professional committed to supporting you in achieving your objectives through superior performance and management acumen. I am confident that I could be a valuable asset to your company, and look forward to interviewing with you in the near future. Please note that I am planning on relocating to <insert region> in approximately <insert number> weeks.
Yyyyyy x. yyyyyy
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