Gaurav Gupta
Toronto
Overview
8
8
years of professional experience
Work History
SENIOR OPERATIONS SPECIALIST
TORONTO DOMINION BANK
02.2023 - Current
- Conduct thorough analysis and verification of new account applications and accompanying documentation to ensure compliance with internal supervision policies and regulatory requirements
- Evaluate client submissions for completeness, accuracy, and adherence to industry guidelines, mitigating potential compliance risks
- Provide guidance to internal teams and external stakeholders regarding required documentation and approval criteria to streamline the account opening process
- Perform comprehensive due diligence on complex account openings and Know Your Customer (KYC) updates to identify potential risks and ensure regulatory adherence
- Assess client profiles using internal and external data sources to detect inconsistencies, red flags, or potential reputational concerns
- Partner with compliance teams to implement enhanced due diligence (EDD) procedures for high-risk accounts and transactions
- Review and validate legal documents, including Power of Attorney, Wills, Trusts, and Estates, to ensure authenticity, accuracy, and compliance with regulatory requirements
- Coordinate with legal and compliance teams to address discrepancies and provide recommendations for document acceptance or rejection
OPERATIONS ASSOCIATE
AVA TRADE
05.2021 - 02.2023
- Streamlined operational processes to enhance efficiency and workflow optimization
- Managed documentation and data entry while ensuring accurate communication between internal teams and clients
- Facilitated customer account setups, ensuring proper configurations and compliance with company standards
- Conducted compliance reviews, verifying ID cards, passports, and address certificates to meet regulatory requirements
- Processed $1M+ in customer withdrawal requests monthly, addressing commission issues with 98% accuracy
- Managed financial transactions exceeding $5M annually, including bookkeeping, accounting, and balancing
- Provided market insights that led to a 20% improvement in localized customer engagement strategies
- Managed 1,000+ customer records, ensuring accurate documentation and seamless communication with internal teams and clients
- Facilitated 500+ customer account setups with a 99% accuracy rate in configurations and compliance
FINANCIAL SERVICE ADVISOR
EASYFINANCIAL
05.2021 - 02.2022
- First point of contact for walk-in or in-bound calling customers looking for advice and processing end to end applications by Collecting information to progress the case and analyzing applicant’s financial status, credit, and income to determine feasibility of granting loans
- Review and assess incoming documentation to create new claims, incidents, or worker profiles, and match supporting documents to existing claims
- Make 80-110 dials while working on collections for delinquent loans and cold calling in anticipation of business
- Understanding and analyzing customers credit reports/income and liabilities and follow underwriting rules by identifying and co-ordinate intervention by internal and external specialty departments which resulted in a branch growth of 40% to reach a branch value of $3.1M
- Excellent credit granting and case management knowledge resulting in no derogatory or written off credit facilities as a result of adhering closely to policy and guidelines, leading to 100% audit pass every time
- Assess cases and applications, while planning towards best outcomes
- Making eligibility decisions quickly and accurately and communicating them to the clients, resulting in high client satisfaction scores using CRM tools and resources
PROCESS EXPERT
MAERSK – INTERNATIONAL SHIPPING COMPANY
02.2017 - 10.2018
- Key Account Manager for 70-80 premium customers (DHL, Adidas, Tata, Walmart etc.)
- Responsible for end-to-end client management and providing training to workers/colleagues whenever required
- Maintain and strengthen customer relationships, upgrading and managing customer accounts, overseeing the export process and managing bookings from placement till delivery to the customer by using case management on Salesforce
- Review and submit progress of documents such as Bill of Lading, Invoices, Packing Lists, Shipping Instructions and Verified Copies for processing purchasing transactions
- Overseeing the export process and managing bookings from placement till delivery to the customer while responding to 160-180 mails daily to de-escalate customer queries quickly and in an unbiased manner
Skills
- Operational excellence
- Business process improvement
- Workflow management
Timeline
SENIOR OPERATIONS SPECIALIST
TORONTO DOMINION BANK
02.2023 - Current
OPERATIONS ASSOCIATE
AVA TRADE
05.2021 - 02.2023
FINANCIAL SERVICE ADVISOR
EASYFINANCIAL
05.2021 - 02.2022
PROCESS EXPERT
MAERSK – INTERNATIONAL SHIPPING COMPANY
02.2017 - 10.2018
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