Summary
Overview
Work History
Education
Skills
Languages
Timeline
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Sara Rabadan Iglesias

Montréal,Québec

Summary

Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing 8 years of experience in the banking industry

Overview

8
8
years of professional experience

Work History

Compliance Officer

CIBC
05.2022 - Current
  • Providing Monthly Focus for the Montreal team
  • Assisting and supporting Mutual Fund reps with compliance related procedures
  • Providing Tier 2 and 3 coaching for past due inquiries
  • Reviewing and approving new mutual fund applications/accounts
  • Assisting Team Leaders in the huddles to update about compliance trends and procedures
  • Call monitoring and trade supervision
  • KYC reviews
  • Main support task for RDSP final approvals, follow ups on rejected applications, assisting the offline RDSP team.
  • updating of new and old procedures
  • in contact with regulators to send material changes, registrations and terminations.

Business Control Analyst

CIBC
07.2021 - 04.2022
  • Reviewing every day mutual fund trades and applying CFR guidelines
  • Ensuring Suitability and Reasonability is applied to every trade review to ensure client's are not over exposed to risk
  • Responding to follow ups in a timely manner, and ensuring internal and external regulatory risk policies are met
  • Rotated report for PPS address modifications as well as follow ups on deficiencies
  • Managing QC Queue when required and ensure all Quebec back office trades are reviewed before the end of day
  • Translating English to French templates for PPS or email escalations
  • Proficiency in the following applications: Corfax, CPAS, AST, WMOL, TOPS
  • Extensive use of EXCEL on a daily basis for follow ups and PPS address modifications tracker.

Mutual Funds Specialist

CIBC Securities
02.2019 - 06.2021
  • Ensuring and adhering to Anti-money laundering procedures and requirements (AML)
  • Processing mutual fund trades for clients
  • Opening mutual fund accounts for Simplii Financial and CIBC clients
  • Advising clients of investment options based on their financial goals
  • Working with branch managers to facilitate services for clients.

Credit Counsellor

CIBC, Client Account Management
02.2016 - 02.2019
  • Contact clients with past due invoices
  • Take payment arrangements with the clients and offer credit counseling
  • Refer clients with difficulties for refinancement loans and help them get out of debt
  • Resolving all issues in only one call
  • Following up with clients as needed
  • Contacting branch managers to facilitate transactions for clients
  • Reporting escalations when needed.

Education

No Degree - Chief Compliance Officer Course

CSI
Montreal, Quebec
10.2023

Bachelors Degree in Modern Languages, Specializing in Translation -

Concordia University, Montreal

Branch Compliance Officer (BCO) -

Canadian Securities Institute, Montreal
04.2021

Investment Funds in Canada (IFC) -

Canadian Securities Institute, Montreal
02.2019

Skills

  • Well-versed in mutual funds, with MFDA, AMF and branch compliance officer requirements
  • Computer savvy: can use and troubleshoot both Windows and Mac OS Familiar with Microsoft Suite, G-Suite

Languages

French
Native or Bilingual
English
Native or Bilingual
Spanish
Native or Bilingual

Timeline

Compliance Officer

CIBC
05.2022 - Current

Business Control Analyst

CIBC
07.2021 - 04.2022

Mutual Funds Specialist

CIBC Securities
02.2019 - 06.2021

Credit Counsellor

CIBC, Client Account Management
02.2016 - 02.2019

No Degree - Chief Compliance Officer Course

CSI

Bachelors Degree in Modern Languages, Specializing in Translation -

Concordia University, Montreal

Branch Compliance Officer (BCO) -

Canadian Securities Institute, Montreal

Investment Funds in Canada (IFC) -

Canadian Securities Institute, Montreal

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Sara Rabadan Iglesias