Niharika R.
Invest-by-phone Advisor -client Due Diligence & Risk Review @RBC
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WORK HISTORY
Invest-by-phone Advisor -client Due Diligence & Risk Review @RBC
Mississauga, ON, CA
Conduct customer due diligence reviews during onboarding and ongoing relationships by validating identity, financial information, and customer risk profiles.• Perform KYC reviews to ensure completeness, accuracy, and compliance with AML, ATF, and internal RBC policies.• Apply a risk-based approach to assess transactional behavior, identify red flags, and prioritize higher-risk cases.• Escalate complex or high-risk cases to compliance and risk management teams, demonstrating sound ethical judgment.• Maintain clear, factual, and audit-ready documentation across internal systems to support regulatory reviews and audits.• Collaborate with internal stakeholders to resolve compliance issues while meeting service-level timelines.
EDUCATION
Conestoga College
PGDM
Punjab Technical University
Bachelor of Technology - BTech
ABOUT NIHARIKA R.
Results-driven and customer-oriented investment advisor with a strong background in investment and retail banking, coupled with extensive experience in delivering exceptional customer service. Seeking to leverage my expertise to provide strategic financial guidance, optimize investment portfolios, and foster long-term client relationships.
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