Summary
Overview
Work History
Education
Skills
Certification
Work Availability
Timeline
OfficeManager

Andres Molina

Toronto,ON

Summary

Reliable business professional with experience in project management, process improvement and financial analysis. Proven track record of successfully streamlining business operations and reducing costs. Adept at analyzing data to identify trends and developing strategies to improve efficiency.

Overview

8
8
years of professional experience
1
1
Certification

Work History

Supervisor/Compliance Branch Review & Practices

Hub Capital Inc
02.2019 - 09.2023
  • Coordinated annual Audit Site Visits per branch and sub-branch risk assessments, ensuring Branch Manager and Representative Audit Reviews are completed and audit sites are compliant with regulatory standards.
  • Provided supervision for the daily Tier 2 Trade Approvals and Tier 2 Shared Inbox, ensuring all Advisor trades, requests, and queries have been approved and resolved in a timely manner.
  • Prepared monthly and quarterly Deficiency/Audit Reporting for the Executive Management Team & Regulators.
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
  • Managed and trained the Investment Compliance Specialist Team on current and new compliance policies/procedures.

Financial Analyst/Senior Administration Officer

B2B Bank
03.2015 - 02.2019
  • Presented monthly/quarterly reports to the management and audit committee, including the yearly quarterly budget forecast, monthly expense report, and current product variance report.
  • Assisted in the preparation of quarterly and annual consolidated financial statements, including note disclosures, and working papers for auditors and other public company filings.
  • Prepared and reconciled monthly commission compensation reports for all internal/external Brokers, Dealers, and Agencies.
  • Processed all financial and non-financial transactions relating to Mortgage products ensuring tax legislation & policies are followed involving payments, renewals, statements, & discharges.
  • Performed quality control of cases completed by department admin officers, verifying the accuracy, clarity, completeness & ensuring compliance with internal/external audit and regulatory requirements.

Education

Bachelor of Applied Business - Accounting

George Brown College
07.2014

Skills

  • Financial Reporting & Analysis
  • Account Reconciliation and Taxation
  • Expense Reporting
  • Compliance Testing & Risk Assessments
  • National Registration Database (NRD)
  • Microsoft Office (Word, Excel, Access, etc),
  • Visual Basic Tools / Sharepoint
  • SalesForce / Workday
  • Financial Products: Mutual Funds, Securities Segregated funds & Mortgages
  • Global Anti-Money Laundering/ Information Security/Privacy Awareness
  • Multilingual: English, French and Spanish

Certification

The Investment Funds Institute of Canada

  • Canadian Investment Funds Course, [2019]
  • Branch Managers Course, [2019]
  • Investing in Alternative Mutual Funds and Hedge Funds, [2022]

Work Availability

monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline

Supervisor/Compliance Branch Review & Practices

Hub Capital Inc
02.2019 - 09.2023

Financial Analyst/Senior Administration Officer

B2B Bank
03.2015 - 02.2019

Bachelor of Applied Business - Accounting

George Brown College

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Andres Molina