Soumya Sar
Compliance Officer @CI Financial
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WORK HISTORY
Compliance Officer @CI Financial
Toronto, ON, CA
Conducting daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.• Monitoring employees trading and approve pre-clearance trade requests.• Reviewing and analyzing personal trading activities for registrant across internal and external trading accounts.• Conducting comprehensive quarterly Trade Desk review and preparing detailed quarterly reports summarizing findings.• Preparing and submitting regulatory reports including marker correction, ISG request, gatekeeper reports etc.• Monitoring Compliance email box and Salesforce channel and responding to inquiries from other departments.
EDUCATION
Visva Bharati University, WB
B.Sc., Physics (Honours)
Christ University, Bangalore
MBA, International Business and Finance
SKILLS
ABOUT SOUMYA SAR
Currently I am working as a Compliance Officer at CI Investment Services, where I do comprehensive trade desk review and make regulatory reports. Previously I have worked as a Credit Analyst at Scotiabank & Federal Bank respectively in Canada & India, where I had adjudicated auto loans and mortgages. I have over 12+ years of experience in Banking & Finance domain. I have a under graduate degree in Science (Physics) and a Master\'s degree in Business Administration (Finance). This unique combination has given me the right skills and knowledge of a credit analyst, risk analyst and Data analyst. Currently I am pursuing FRM qualification. Key Skills:• Compliance & reporting• Credit Analysis• Risk Management• Quantitative TradingFriends describe me as a hard working, helpful and dependable person.In my non-working time, I enjoy travelling, cooking, reading and yoga.To connect with me, please email me at s••••••••@gmail.com, or call me at +13•••••••85.
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