CHINTAN JOSHI
Finance
Brampton,ON
Summary
Motivated and detail-oriented individual with 5 years of combined experience in banking & finance specifically in Hedge Fund & Private Equity Administrative Work, Wealth Management, Client Relations, Market Analysis, and Financial Services.
Possesses strong analytical and problem-solving skills, with the ability to work independently and as part of a team.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Senior Fund Administrator
Apex Fund Services, Canada
05.2023 - 12.2023
- Act as primary contact for investor inquiries.(Hedge Funds/Private Equity). Overlooked over eight clients, six Private equity and two Hedge Fund.
- Prepared supporting schedules for consolidated investor quarterly reports and annual financial statements.
- Carried out ACH transactions, wire transfers, distributions, payroll deposits and vendor payments.
- Provide guidance to junior administrators.
- Collaborated with AML/KYC department and Fund Accountants to comply with governing bodies and limit regulatory risks.
- Reviewed securities transactions to verify accuracy and confirm regulatory compliance.
- Performing and delegating ad-hoc requests received from client.
Associate
RBC Dominion Securities
01.2022 - 03.2023
- Managed over 100 plus high net worth households (135MM in assets) with their accounts, documentation processing, missing documentation, client queries and overall portfolio management
- Preparing performance reports and presentations for clients
- Collaborated with portfolio manager to make recommendations for trades and adjustments to portfolio holdings.
- Reviewing and completing solicited and unsolicited trades under directions of portfolio manager and clients.
- Coordinating with back office staff to resolve client queries and any discrepancies
- Compiling performance, tax and quarterly statements.
- Complete daily activities like portfolio rebalancing, raising cash for debit accounts and issuing margin calls
- Coaching of newly hired assistants and associates.
- Transitioning clients assets over from outside FI's to RBC DS (115MM for FY 2022)
Investment Consultant
Canadian Imperial Bank of Commerce
05.2019 - 03.2021
- Building tailored financial plans and provide suitable investment advice to client to help attain their financial goals and objectives.
- Adhere to regulatory and compliance requirements (AML and KYC) governing delivery of advice, planning and recommendation of financial solutions.
- Managing client investment portfolio's, preparing documentation prior to appointments and charting interactions with clients for future reference
- Referral of 4MM in mortgages, 16MM in Investment assets, 350+ in banking products
- Touch base with prospect and current clients to initiate advisory services and procure business to CIBC.
- Initiating administrative support to banking center staff, including managers and advisors on daily basis to improve compliance with current regulations, business efficiency and quality of service to clients.
Financial Services Representative
Canadian Imperial Bank of Commerce
12.2017 - 05.2019
- Providing exceptional client experience for new and existing clients by needs identification through client discovery and financial goals
- Complied with department and company policies, procedures, audit guidelines, and regulations.
- Ongoing business planning activities to meet sales and referral targets
- (Achieved 150% in Mortgages, 240% in Managed Funds, 280% in Banking Products)
- Initiating phone calls to book appointments with existing and prospect clients to identify gaps and provide appropriate financial solutions
- Documenting credit and investment files to ensure qualification and compliance with CIBC policies and procedures.
- Providing support to banking centre service team on daily basis.
- Ongoing mentoring and coach new staff.
Auditor
The Plaza Hotel
05.2016 - 10.2017
- Responsible for cash float and ensuring all floats balance before end of shift.
- Verify revenue from all sources and following up on any discrepancies.
- Performing administrative duties and support for upcoming front desk representatives.
- Completing end of day balance sheet comprising of revenues from all three departments of hotel (Beer store Restaurant and Front Desk).
Education
Post Baccalaureate Diploma - Finance
Thompson Rivers University
Kamloops, BC08.2017
Bachelor of Business and Computer Application -
University of Pune
Pune, MH04.2015
Skills
- Analytical
- Fund Administration
- Multitasking
- Client Relations
- Financial Analysis
- MS Office
- Investment Product Sales
- Data Analysis
Certification
Canadian Securities Course (CSC) Conduct and Practices Handbook (CPH) Investment Funds in Canada (IFIC)
Timeline
Senior Fund Administrator
Apex Fund Services, Canada
05.2023 - 12.2023
Associate
RBC Dominion Securities
01.2022 - 03.2023
Investment Consultant
Canadian Imperial Bank of Commerce
05.2019 - 03.2021
Financial Services Representative
Canadian Imperial Bank of Commerce
12.2017 - 05.2019
Auditor
The Plaza Hotel
05.2016 - 10.2017
Post Baccalaureate Diploma - Finance
Thompson Rivers University
Bachelor of Business and Computer Application -
University of Pune
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