Arun Jamwal
Scarborough
Summary
Finance professional holding CAFA certification, with successful completion of Financial Planning 1 and 2 and Branch Compliance Officer course. Proven experience in compliance and documentation reviews at CIBC’s wealth division, ensuring adherence to regulatory standards and operational risk management. Aiming to apply skills in a regulatory or business control position to drive compliance excellence.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Assistant
IQ Wealth
Toronto
02.2024 - Current
- Supported frontline compliance documentation across Wealth accounts, managing NAF reviews and government forms submission.
- Verified submitted forms for account openings and changes, rectifying deficiencies in collaboration with frontline agents.
- Investigated escalations, pinpointed root causes, and coordinated effective resolutions with business partners.
- Addressed complex escalations regarding negative cash balances and transaction adjustments by ensuring comprehensive documentation.
- Conducted callback support for RSAs, including call listening, and client follow-ups to ensure issue resolution.
- Executed thorough KYC reviews during callbacks, confirming client profiles matched their financial goals.
- Provided ongoing coaching to frontline agents on KYC/KYP compliance standards to bolster their expertise.
- Reviewed account change forms as necessary to guarantee procedural compliance and data integrity prior to submission.
Progress Leader
CIBC
Toronto
04.2024 - 10.2024
- Lead, mentor and coach a team of new mutual fund representative to achieve performance goals.
- Ensure the team maintains high standards of client service, providing personalized financial advice that meet client needs, goals.
- Conduct coaching sessions and training to enhance the professional development of representatives and encourage continuous improvement
Mutual Funds Specialist
CIBC
Toronto
02.2022 - 02.2024
- Built Rapport and established positive working relationships with the clientele by making use of the industry standard KYC Know Your Client question set.
- Determined the needs of client's and provided useful information about products and services accordingly.
- Provided factual, detailed and technical information on various Mutual funds.
- Managed Portfolio:
- - Created new Mutual Funds accounts and completed transactions on existing accounts such as purchases, redemptions and transfers from one fund to another.
- - Suggested appropriate portfolio to the client's depending on their needs and performed daily trades on client accounts.
- Provide exceptional customer service by addressing inquiries and resolving issues related to the shareholder accounts, transactions and fund performance promptly and professionally.
- Communicating effectively with client's depending on their personality types, using open-ended and close-ended questions.
- Offer suitable products to client which matches their risk profile and tolerance.
- Utilizing technology to provide the best possible product to a client and enhance their experience with the company.
- Building rapport and maintaining relationship with client's within the industry.
- Enabled client's in better managing their financial needs using the company's mobile platform.
- Prepared presentations which recommend financial products and communicate portfolio performance to present and prospective client's.
Independent Associate
World Financial Group (WFG)
Toronto
10.2021 - 01.2022
- Interacting with client's from all walks of life and discovering their financial needs.
- Educate client's regarding financial products such as RRSP, RESP and TFSA and help them build a positive portfolio.
Team Lead (Part Time)
G4S Solutions
Toronto
06.2020 - 10.2021
- Co-ordinate activities with other work units or departments.
- Prepare and submit progress and other reports.
- Co-ordinate, assign and review the work of team members.
- Solve work-related problems.
- Prepare and submit occurrence and progress reports.
- Train on-site staff for job duties and company policies.
Dispatch Supervisor
Eps Group
Toronto
08.2019 - 07.2020
- Managed and assigned shifts to security units according to the client's requirements.
- Received and handled calls from various job sites and processed reports from the security units.
- Handled client queries via calls and emails and provided services accordingly.
- Provided the client's with best possible solutions to their concerns and maintained a positive relationship with them.
Scheduling Coordinator
Garda World
Toronto
02.2019 - 08.2019
- Respond to client requests and schedule shifts for guards as per requirement.
- Receive and record book on, off and check in calls from multiple areas.
- Respond to staff and client inquiries regarding schedules.
- Record book off calls and replace staff as needed in multiple areas.
Lead Dispatcher
Intelligarde International Inc.
Toronto
06.2018 - 02.2019
- Manage employee schedules using ETime Scheduling Software.
- Interact daily with emergency personnel from TPS, TPE and EMS.
- Provide high level of customer service to client's.
- Experience with various scheduling and payroll software.
Education
Business Accounting -
Centennial College
Toronto, Canada04.2018
Certification
- Personal Financial Services Advice
- Certificate in Advanced Financial Advice
- Investment funds in canada
- Certificate in Financial services Advice
- Branch Compliance Officer's Course
Timeline
Progress Leader
CIBC
04.2024 - 10.2024
Assistant
IQ Wealth
02.2024 - Current
Mutual Funds Specialist
CIBC
02.2022 - 02.2024
Independent Associate
World Financial Group (WFG)
10.2021 - 01.2022
Team Lead (Part Time)
G4S Solutions
06.2020 - 10.2021
Dispatch Supervisor
Eps Group
08.2019 - 07.2020
Scheduling Coordinator
Garda World
02.2019 - 08.2019
Lead Dispatcher
Intelligarde International Inc.
06.2018 - 02.2019
Business Accounting -
Centennial College