Rujuta Dalal
Senior Compliance Specialist @Igm Financial Inc
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WORK HISTORY
Senior Compliance Specialist @Igm Financial Inc
Toronto, ON, CA
EDUCATION
K.E.T's V.G. Vaze College of Arts, Science and Commerce
Bachelor's degree, Mass Media
Smt. CHM College of Arts Science and Commerce
Higher Secondary, Commerce
Seneca College School of Hospitality & Tourism
Post Graduation, Global Hospitality Service Leadership
Seneca Polytechnic
Post Graduation, Event & Exhibit Design
SKILLS
ABOUT RUJUTA DALAL
I am a Senior Compliance Specialist with a focus on Trading Compliance within Asset Management industry, supporting Investment and trading activities in accordance with Canadian securities regulations, including National Instruments CIRO and OSC requirements.I partner closely with investment, trading, operations, legal, and risk teams to provide practical regulatory guidance, manage compliance risk, and strengthen governance across the trade lifecycle. I am known for sound judgement, strong regulatory insight, and the ability to communicate complex compliance matter clearly while balancing regulatory expectations with business objectives. Key Strengths: Trading Compliance Oversight Regulatory interpretation (NI, CIRO & OSC) Risk Assessment and Escalation Policy Implementation
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