Summary
Overview
Work History
Education
Skills
Websites
Certification
References
Timeline
Generic

SWATI AGGARWAL

Mississauga,Canada

Summary

Detail-oriented investment advisor with a strong background in client relationship management and estate planning. Known for exceptional communication skills and a commitment to aligning investment strategies with client financial goals.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Investment service Representative

Royal Bank of Canada
Mississauga, Canada
05.2025 - Current
  • Manage client inquiries regarding investment products and services..
  • Facilitated account openings and maintenance for investment clients.
  • Provided accurate information on market trends and investment strategies.
  • Assist clients in understanding product features and benefits.
  • Coordinate communication between clients and internal departments for issue resolution.
  • Work closely with internal departments such as Compliance and Operations to ensure the smooth processing of orders and requests from clients.
  • Assist clients with the completion of applications for initial purchases, transfers, and other account transactions.
  • Process paperwork related to account openings, closings, transfers, deposits, and withdrawals.
  • Answered customer inquiries regarding accounts, investments, fees, taxes. in a timely manner.

Estate Specialist

Royal Bank of Canada
Mississauga, Canada
10.2024 - 05.2025
  • Advised clients on estate planning strategies, ensuring alignment with their financial goals and family needs.
  • Conducted in-depth reviews of wills and estate plans to optimize estate settlement processes.
  • Collaborated with the team to review and finalize estate-related documents.
  • Advised clients on estate planning and wealth management strategies.
  • Conducted comprehensive assessments of client financial situations and needs.
  • Collaborated with legal teams to ensure compliance with regulations and laws.
  • Educated clients on tax implications related to estate planning decisions.
  • Utilized CRM systems to track client interactions and maintain accurate records.

Investment Advisor

Royal Bank of Canada
Mississauga, Canada
11.2022 - 10.2024
  • Proactively uncover opportunities to match customer needs through effective communication and probing skills to help guide clients to available products and services offered.
  • Assisting clients in a financial planning tool onboardings and educating the clients on how the platform can assist clients in financial planning using My Investment portfolio.
  • Using financial calculator to assist in retirement planning and goal discussion.
  • Monitoring client portfolios to ensure these meet their progress and target requirements.
  • Providing tax, income, and estate guidance for clients while being able to answer questions.
  • Working holistically revolving around the principle of care connection and competence by resolving escalations at first point of contact.
  • Assisting investment clients open day-to-day banking products and vice versa to nurture and deepen client relationships.

Banking Advisor

Royal Bank of Canada
Mississauga, Canada
11.2021 - 11.2022
  • Managed day-to-day banking operations, including opening new accounts, explaining campaign criteria, and acquiring new clients by identifying and addressing their financial needs.
  • Consistently achieved a 100% Net Promoter Score (NPS) by delivering exceptional customer service and promoting brand satisfaction.
  • Ensured compliance with strict quality control policies and procedures during all customer interactions.
  • Empowered clients through digital enablement, guiding them to utilize online self-support tools for seamless banking experiences.
  • Contributed to RBC’s goals by strengthening customer relationships and promoting the sale of credit and investment products.
  • Utilized various banking applications to assist clients with transactional inquiries, statement requests, cheque-related issues, third-party demands, appointment scheduling, Visa debit enrollments, and client card reissuance.

Administrative Assistant

Last Dates Inc.
Mississauga, Canada
09.2019 - 03.2021
  • Communicated with customers to always determine their requirements with a positive attitude.
  • Demonstration of test cloud software to education institutions.
  • Processed, verified, and maintained documentation relating to exams of private schools.

Assistant Manager, Finance

Jaypee Infratech
Noida, India
01.2012 - 05.2014
  • Collaborated with the billing department for preparation of schedule of charges.
  • Cost Analysis of competitive pricing on MS Excel using VBA and formulas.
  • Lead communication and interactions with insurance companies for onboarding.
  • Market research for comparative analysis of pricing policies & international patient services department across various hospitals in the region.
  • Assisted in meetings with doctors for staffing.
  • Financial analysis of Hospital costing and reporting.

Education

Master of Business Administration (MBA) -

IIHMR University
India
04.2012

BSc - Science

Panjab University
India
05.2009

Skills

  • Product Knowledge
  • Risk Management and Compliance
  • Financial Analysis
  • Mutual Funds Expertise
  • Microsoft Office Suite
  • Tableau, SQL
  • Investment products
  • Market analysis
  • Compliance management
  • Client relationship management

Websites

Certification

  • Canadian Securities Course (CSC), 06/25
  • Conduct and Practices Handbook (CPH), 06/25
  • Personal Financial Services Advice (PFSA), 2024
  • Investment Funds in Canada (IFIC), 2024
  • Working towards Derivative Financing Options License (DFOL)
  • LLQP, Inactive

References

References available upon request.

Timeline

Investment service Representative

Royal Bank of Canada
05.2025 - Current

Estate Specialist

Royal Bank of Canada
10.2024 - 05.2025

Investment Advisor

Royal Bank of Canada
11.2022 - 10.2024

Banking Advisor

Royal Bank of Canada
11.2021 - 11.2022

Administrative Assistant

Last Dates Inc.
09.2019 - 03.2021

Assistant Manager, Finance

Jaypee Infratech
01.2012 - 05.2014

Master of Business Administration (MBA) -

IIHMR University

BSc - Science

Panjab University

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