Gaurav Kashyap
Toronto
Summary
Driven, skilled and highly motivated professional with progressively combined 4+ years of experience performing client servicing roles in financial services industry and management consulting. Passionate about the world of investments market and determined to turn passion into career.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Investment Services Representative
Royal Bank of Canada - Direct Investing
09.2021 - Current
- Perform trade executions for clients in various investment products such as Equity, Bonds, GIC's , Treasury Bills, Foreign currencies, Mutual Funds, Options and ensuring clients have means to meet trade settlement obligations
- Core member of Royal Circle team which provides superior white glove service to firms high net worth clients
- Answer queries related to capital markets ( Reorganizations, M&A , Trade queries, Dividends and Press releases )
- Understanding and applying industry rules and regulations related to retail trades (IIROC, Provincial and SEC)
- Possess strong knowledge on all Investment products as well as of DI and DS operational systems like Broad ridge, Factset, Berton, ClientSource, ClientLink, Tradelink, ServiceLink, Tableau and Salesforce
- Assist clients with other customer service requests related to forms, account openings, funds transfers, corporate actions and compliance
Senior Analyst
Genpact Enterprise Risk Consulting LLP
07.2017 - 09.2019
- Performed root cause analysis, documented internal audit observations and designed efficient & effective risk control matrices for various clients
- Conducted process walkthrough and provided work paper documentations, SOX testing & controls evaluations to management
- Conducted Due Diligence, Background screening, Financial & Inherent Risk Assessment on third parties using inbuilt tools & research softwares
- Participated in client demos, delivered more than 500 reports, led client calls and responsible for supervising other junior analysts
- Responsible for running Data Analysis on client data to spot cases of fraud, corruption and bribery.
Education
Post Grad Diploma (Financial Planning) -
George Brown College
Toronto, ON08.2021
BBA(FIA): Bachelor of Business Administration(Financial Investment Analysis) -
Shaheed Sukhdev College of Business Studies, University of Delhi
Delhi, India05.2017
Skills
- Research
- Advance excel
- Analytical Skills
- Communication
- Team work
- Commodities Trading
- Product and Service Sales
- Client Relations
- CRM Software
Certification
- DFOL - Derivatives Fundamentals and Options Licensing, 2022
- CPH - Conduct and Practices Handbook Course, 2021
- CFA LEVEL 2 Candidate, 2023
- CFA LEVEL 1, 2019
Timeline
Investment Services Representative
Royal Bank of Canada - Direct Investing
09.2021 - Current
Senior Analyst
Genpact Enterprise Risk Consulting LLP
07.2017 - 09.2019
Post Grad Diploma (Financial Planning) -
George Brown College
BBA(FIA): Bachelor of Business Administration(Financial Investment Analysis) -
Shaheed Sukhdev College of Business Studies, University of Delhi
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