Summary
Overview
Work History
Education
Skills
Websites
Accomplishments
Timeline
Generic

Arshleen Sahani

Toronto

Summary

Experienced and results-driven Investment Compliance professional with over 14 years of expertise in investment compliance, regulatory oversight, and risk management across mutual funds, ETFs, and institutional portfolios. Proven track record of ensuring firm-wide adherence to global regulations (SEC, FINRA, OSC), implementing automated compliance systems, managing audits, and leading cross-functional teams. Adept at developing robust compliance frameworks and collaborating with portfolio managers, legal teams, and regulators.

Overview

13
13
years of professional experience

Work History

Senior Counselor, Portfolio & Trade Compliance

Fiera Capital Corporation
09.2021 - Current
  • Lead client guideline management and oversee pre- and post-trade compliance monitoring for all U.S. funds; support equivalent processes for Canadian portfolios.
  • Direct oversight of investment guideline breaches, ensuring timely escalation and resolution in collaboration with portfolio managers.
  • Prepare quarterly compliance reports, including IRC support documentation, for internal leadership and external clients.
  • Draft and maintain detailed process documents to support compliance operations and enhance procedural transparency.
  • Drive projects related to process improvements, system transitions, internal audits, and regulatory updates.
  • Represent Compliance in client meetings and cross-functional discussions, ensuring alignment with investment guidelines and regulatory expectations.
  • Remain current with evolving regulatory requirements and interpret their operational impact on firm policies and investment practices.

Senior Analyst, Compliance

Sunlife Investments
01.2019 - 09.2021
  • Managing Investment Compliance and the quality assurance of the trades
  • Expertise in AML Screening and managing all new & existing clients' data
  • Managing Compliance Manual Process- Ensuring up to date compliance policies by coordinating with different business Units
  • Review and Analysis of - Marketing, Advisory Material & Personal trading
  • Performing quality assurance/testing of Compliance procedure/Business continuity Testing/Internal Audits.
  • Analyzed and prepared the IRC report presented by the Compliance Director.

Legal & Compliance Analyst

Purpose Investments
04.2018 - 12.2018
  • Reviewing and managing KYC Process and Client Management
  • Reviewing Prospectus, Creating Fund Facts & managing the filing procedure for 20+Funds
  • Creation and amendments of legal documents (Contracts)
  • Managing timeliness of Regulatory filings
  • Reviewing Personal Trading, Pre/Post trading reviews
  • Conduct Compliance Training Sessions
  • Compliance review of Sales & Marketing

Senior Research - Legal Specialist

Franklin Templeton Investments
10.2016 - 03.2018
  • Managing Simplified Prospectus & Additional Information Form per SEDAR, OSC and Annual Reports per SEC
  • Leading Fund Launches, reports for internal clients and stakeholders
  • Leading Projects, coordinating with internal teams for Fund prospectus and other filings
  • Working with Auditors and Regulators and acting as point of contact for the Firm

Research Analyst

S&P Global Market Intelligence
05.2012 - 08.2016
  • Conducting Qualitative & Quantitative Research on Mergers & Acquisitions
  • Expertise in collecting transaction & Financial information
  • Client Management and Query Handling
  • Process Improvement and Data Analytics

Education

MBA - Finance

IILM Institute
04.2012

Bachelors - Commerce

Punjab University
05.2010

Skills

  • Portfolio & Trade Compliance
  • AML/KYC
  • Data Management
  • Client Management
  • Financial Research
  • FCRM
  • Dow Jones
  • Regulatory Compliance
  • Bloomberg
  • Proficient in Charles River solutions
  • Sentinel
  • Resolver

Accomplishments

  • Quality Award - S&P Global
  • Monthly Best Performer Award - Franklin Templeton

Timeline

Senior Counselor, Portfolio & Trade Compliance

Fiera Capital Corporation
09.2021 - Current

Senior Analyst, Compliance

Sunlife Investments
01.2019 - 09.2021

Legal & Compliance Analyst

Purpose Investments
04.2018 - 12.2018

Senior Research - Legal Specialist

Franklin Templeton Investments
10.2016 - 03.2018

Research Analyst

S&P Global Market Intelligence
05.2012 - 08.2016

Bachelors - Commerce

Punjab University

MBA - Finance

IILM Institute

Similar Profiles

CREATE PROFILE
Arshleen Sahani