RAKESH GOTTIPATI

• Working as Risk Manager Monitoring and supervising Compliance Activities for CIRO Licensed Advisors and CIBC Private Investment Counsels

• Serve as Tier 1 in-branch regulatory supervisor, accountable for daily supervisory activities.

•Ensure compliance with CIRO, provincial securities commissions, KYC, AML, FCAC, and internal policy standards.

• Monitored periodic reports/Advisor activities to detect any potential violations or risks of non-compliance.

•Escalate, document, and report suspicious or unusual activities in line with internal procedures and regulatory requirements.

•Perform branch-level compliance reviews and audits, and communicate potential issues to stakeholders

•Lead or participate in periodic regulatory and compliance presentations, workshops, and stakeholder meetings.

• Monitor and supervise Compliance Activities for CIRO Licensed Advisors
• Monitored periodic reports/Advisor activities to detect any potential violations or risks of non-compliance.
• Prepare and manage various reports, ensure periodic reporting, Training and Development of Fa's and peers, mentoring and assisting new Hire's
• Ensure good coherent working relationship with different stakeholders and conduct regular meetings to address issues and conduct periodic presentations
• Handle complaints and escalate appropriately
• Monitored and evaluated compliance systems and processes to identify areas of improvement.
• Analyzed existing documents and identified discrepancies or areas of improvement.

• Helped clients achieve financial planning goals through remote channels to ensure their long-term financial stability and growth.
• Identified financial needs of customers through effective questioning and listening techniques.
• Advised clients on investment strategies that best suited their individual needs and goals.
• Handle Client Complaints at first point of contact
• Stayed abreast of investment products, industry rules and regulations, and financial planning to maximize job performance.
• Utilized advanced software applications such as Microsoft Excel and Access for financial modelling purposes.

• Worked in Call Centre Environment as an Investment specialist, Dealing with investment products of both CIBC and CIBC securities Inc
• Provided comprehensive customer service while responding to client inquiries regarding mutual funds.
• Established a working knowledge of regulations governing the management of mutual funds.
• Developed expertise in mutual fund products, including stocks, bonds, and money market funds.
• Presented investment information, product risks, fees, or fund performance statistics to investors.
• Identified areas of improvement in existing systems by analyzing user feedbacks and surveys.

• Demonstrated strong interpersonal skills while interacting with customers in person, over the phone, or via email.
• Profiled prospects and clients to identify additional financial needs and refer to appropriate financial partners.
• Developed in-depth knowledge of available financial products to advise clients accordingly.
• Maintained up-to-date knowledge of company products and services to ensure compliance with all applicable laws and regulations.
• Provided exceptional customer service by responding promptly to inquiries and resolving complaints in a timely manner.

• Branch head operations for YES Bank branch
• Oversaw daily operations including cash management, opening and closing procedures, account maintenance.
• Managed the daily operations of multiple departments to maximize efficiency.
• Managed the operations of a large team, overseeing daily activities and long-term projects.
• Provided employees with guidance in handling difficult problems or in resolving escalated complaints or disputes.
• Ensured effective communication among staff members by providing training when necessary.
• Conducted regular audits of processes to ensure compliance with regulations and industry standards.
• Developed strong working relationships with key stakeholders across departments within the organization.

• Worked closely with Branch manager to Maintain High Customer Service standards and zero escalations
• Managed the daily operations of multiple departments to maximize efficiency.
• Periodic reporting and regular audits for fraud monitoring including suspicious transactions report
• Demonstrated excellent problem solving skills when resolving complex customer inquiries.
• Communicated effectively with clients in order to ensure satisfaction throughout the relationship lifecycle.
• Conducted regular audits of processes to ensure compliance with regulations and industry standards.
• Responsible for enhanced due diligence, responsible for checking the Account opening forms, Gold loan forms, Credit card applications to make sure KYC and AML guidelines are followed and adhered to
• Received Eagle Eye Award for Detecting and preventing a Financial Clearing cheque fraud in ICICI Bank Ltd in October 2013
• Received many prestigious Awards for over-achieving Life Insurance sales targets and over-achieving revenue targets for the branches
• RBH Convention, Great Escape, League of Extra ordinary gentleman
• Received Customer First Service Excellence Award for Best Customer Service in Sept 2013.