Raj Arora
Director of Compliance @Children\'s Education Funds Inc. Cefi
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WORK HISTORY
Director of Compliance @Children\'s Education Funds Inc. Cefi
An executive responsible for overseeing and managing the organization’s compliance program, ensuring adherence to all relevant regulations, laws, and internal policies. Leading a large compliance team. Develop, implement, and enforces compliance strategies that mitigate risk and ensure the organization’s operations align with industry standards and legal requirements. In addition, tasked with overseeing a large, nationwide network of dealing representatives, ensuring that their activities remain compliant with regulatory requirements and best practices. Providing regular training, complaint resolution and fostering a culture of compliance throughout the organization.
EDUCATION
Canadian Securities Institute
Derivatives Fundamentals Course , Investments and Securities
University of Toronto
Bachelor of Business Administration (BBA), Specialist in Management; Major in Economics
Canadian Securities Institute
Options Licensing Course, Investments and Securities
Canadian Securities Institute
LLQP Insurance Course , Insurance
Canadian Securities Institute
Wealth Management Essentials (WME), Financial Planning and Services
Canadian Securities Institute
Futures Licensing Course, Investments and Securities
SKILLS
ABOUT RAJ ARORA
Experienced individual with a background in Compliance, Risk Management and ERM.
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