Shivam Monga
Financial Advisor @Scotiabank
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WORK HISTORY
Financial Advisor @Scotiabank
Toronto, ON, CA
Proactively reviewed high-value transactions to identify irregular patterns, ensuring compliance with regulatory frameworks and reducing potential financial risks.• Assessed and escalated 15% of high-risk client accounts for enhanced due diligence, minimizing exposure to money laundering activities.• Streamlined the review of financial documents and transactions by implementing structured quality checks, achieving 99% accuracy.• Monitored customer accounts for unusual activity patterns, escalating potential fraud cases to compliance teams for investigation.• Collaborated with cross-functional teams to ensure data integrity, reducing discrepancies and improving customer account accuracy by 20%.• Ensured 100% timely completion of daily workflows to meet the Bank’s regulatory reporting obligations, while mitigating risks.
EDUCATION
Shaheed Bhagat Singh College
B.Com (H), Business/Commerce, General
George Brown Polytechnic
ANALYTICS FOR BUSINESS DECISION MAKING PROGRAM, Business, Management, Marketing, and Related Support Services
Seneca Polytechnic
Post Graduate Diploma, Supply Chain Management - Global Logistics
ABOUT SHIVAM MONGA
As a Financial Advisor with expertise in regulatory compliance, I specialize in conducting Enhanced Due Diligence (EDD) and Customer Due Diligence (CDD) to identify and mitigate risks related to financial fraud, money laundering, and terrorist financing. Proficient in filing Suspicious Transaction Reports (STR) and Large Cash Transaction Reports (LCTR) in alignment with FINTRAC guidelines, I excel in utilizing Microsoft Office and internal systems to ensure accuracy, data integrity, and adherence to AML regulations within tight deadlines.
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