Arshleen Sahani
Toronto,Canada
Summary
Experienced and results-driven Investment Compliance professional with over 14 years of expertise in financial industry, majority in investment compliance, regulatory oversight, and risk management across mutual funds, ETFs, and institutional portfolios. Ensuring firm-wide adherence to global regulations (SEC, OSC), implementing automated compliance systems, managing audits, and supporting cross-functional teams. Adept at developing robust compliance frameworks and collaborating with portfolio managers, legal teams, and regulators.
Overview
14
14
years of professional experience
Work History
Manager, Portfolio & Trade Compliance
Fiera Capital Corporation
11.2025 - Current
- Enhanced compliance workflows by leading cross-functional teams for project success.
- Managed compliance certificates and reports for internal and external clients monthly.
- Reviewed process documentation, updating policies per regulations and market standards.
- Directed system transitions, audits, and process enhancements for operational efficiency.
- Oversaw guideline and restriction coding for USA and Canadian clients.
- Served as primary contact for compliance inquiries related to investments and trades.
Senior Counselor, Portfolio & Trade Compliance
Fiera Capital Corporation
09.2021 - 10.2025
- Lead client guideline management and oversee pre- and post-trade compliance monitoring for US and Canadian institutional Clients including Managed accounts.
- Direct oversight of investment guideline breaches, ensuring timely escalation and resolution in collaboration with portfolio managers and internal stakeholders.
- Prepare Compliance Certificates and 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.
- Managing timeliness of Regulatory filings.
- Reviewing Personal Trading, Pre/Post trading reviews.
- Conduct Compliance Training Sessions.
- Compliance review of Sales & Marketing materials.
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
Gurgaon04.2012
Bachelors - Commerce
Punjab University
05.2010
Skills
- Portfolio & Trade Compliance
- AML/KYC
- Data Management
- Client Management
- Financial Research
- FCRM
- Dow Jones
- Regulatory Compliance
- Bloomberg
- Charles River
- Sentinel
- Resolver
- Team leadership
- Decision-making
Accomplishments
- Quality Award - S&P Global
- Monthly Best Performer Award - Franklin Templeton
CONTACT
- Address: Toronto Canada
- Phone: 6479755046
- Email: arshleen@ymail.com
WEBSITES
linkedin.com/in/arshleen-kaur-sahani
Timeline
Manager, Portfolio & Trade Compliance
Fiera Capital Corporation
11.2025 - Current
Senior Counselor, Portfolio & Trade Compliance
Fiera Capital Corporation
09.2021 - 10.2025
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