Rajeev Ranjan

VP Finance & Compliance Officer @Candor Financial Group Inc

Toronto, ON, CA

Ensured Regulatory Compliance with MFDA/CIRO/FINTARC rules/regulations by conducting audit & inspections of financial advisors, preparing risk matrix, reporting/correcting deficiencies • Contributed towards development, implementation of internal financial/compliance policies, remediation of material AML findings, filing of STR reports to FINTRAC • Developed training, learning solutions for newly onboarded and existing advisors, supervised the MFDA continuing education requirements, provided ongoing educational support • Managed onboarding process including training on systems (Univeris Wealth Management Solutions), policy and procedure manual, Standards of Conduct & Practice, exception reports • Facilitated communication with regulatory bodies like Ontario Securities Commission, MFDA, CIRO, NRD, FINTRAC, Fundserv and fund companies for resolution of issues

Indian Institute of Bankers (CAIIB)

Certified Associate of Indian Institute of Bankers

Banaras Hindu University

Masters of Science

Schulich School of Business

Master of Business Administration (M.B.A.)