Summary
Overview
Work History
Education
Skills
Languages
Websites
Languages
Certification
Timeline
Generic

Saief Tarafdar

Montreal,Canada

Summary

Dynamic professional with extensive experience at Aviso Wealth, specializing in regulatory compliance and advisor onboarding. Proven track record in developing impactful training programs and enhancing operational efficiency. Skilled in cross-functional collaboration and stakeholder communication, driving successful outcomes in compliance and education initiatives. Committed to fostering a culture of continuous learning and improvement.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Senior Registration Officer

Aviso Wealth
Montreal, QC
03.2022 - Current
  • Led CIRO Regulatory Registration Services to ensure full regulatory compliance.
  • Facilitated training programs for advisors and internal teams on CIRO rules and compliance best practices.
  • Developed engaging learning materials to enhance onboarding and continuous education.
  • Collaborated with cross-functional teams to align training content with regulatory changes.
  • Delivered presentations and workshops to clarify complex compliance topics.
  • Maintained accurate training records to support internal audits and regulatory reviews.

Registration Officer

Aviso Wealth
Montreal, QC
03.2021 - 03.2022
  • Facilitated advisor onboarding and registration, ensuring regulatory compliance.
  • Developed internal guides and knowledge-sharing tools to enhance operational efficiency.
  • Created compliance-focused learning content to support continuous education.

Relationship Manager

Sunlife Financial
Montreal, QC
01.2018 - 03.2021
  • Executed strategies to enhance customer retention and drive acquisition efforts.
  • Prepared and presented comprehensive reports on client accounts to senior management.
  • Educated clients on investment products and financial planning methodologies.
  • Translated complex financial concepts into clear, client-friendly language.
  • Cultivated strong relationships with clients through active listening and tailored guidance.

Senior Investment Representative

TD
Montreal, QC
09.2013 - 01.2018
  • Mentored junior traders, enabling knowledge transfer on trading strategies and risk management.
  • Participated in training sessions to strengthen understanding of financial markets and regulations.
  • Developed strategies to enhance customer service experience across all interactions.
  • Maintained transaction records to ensure compliance with regulatory standards.

Education

Business Analytics

Udacity
Online
01.2020

Skills

  • Regulatory compliance (CIRO, NRD, audits)
  • Advisor onboarding and enablement
  • Compliance training and education
  • Cross-functional collaboration (risk, ops, legal)
  • Learning content development and delivery
  • Project management (eg, NRD renewal)
  • Process documentation and optimization
  • Stakeholder communication and facilitation

Languages

  • French (Native or Bilingual)
  • Bangla (Native or Bilingual)
  • English (Native or Bilingual)

Languages

English
Professional
French
Professional

Certification

  • Improving Your Leadership Communications Issued Apr 2023
  • GRC Professional Certification Issued Sep 2023
  • Integrated Data Privacy Issued Oct 2023
  • GRC Audit Issued Sep 2023
  • CPH - Conduct and Practices Handbook Course
  • CSC - Canadian Securities Course
  • DFOL - Derivatives Fundamentals and Options Licensing Course

Timeline

Senior Registration Officer

Aviso Wealth
03.2022 - Current

Registration Officer

Aviso Wealth
03.2021 - 03.2022

Relationship Manager

Sunlife Financial
01.2018 - 03.2021

Senior Investment Representative

TD
09.2013 - 01.2018

Business Analytics

Udacity

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Saief Tarafdar