Alexander Mulair Email & Phone Number

Toronto, Ontario, Canada

• Manage regulatory and business risks associated with brokerage account onboarding and maintenance at CIBC ISI/IIS/PPS.
• Serve as a signing officer, legally binding all new accounts on behalf of the firm
• Offer support and guidance to business partners regarding account opening and maintenance challenges
• Scrutinize account documentation to ensure compliance with both CIBC and industry regulations
• Interpret industry regulations concerning new account procedures and account upkeep
• Assess new account applications and changes, applying regulatory and corporate compliance rules accordingly, and seek legal opinion when necessary

Toronto, Ontario, Canada

• Relationship desk handling inbound client & advisor servicing and order execution of self-directed and managed accounts for Canadian & US securities (equities, fixed income, options, mutual funds, and precious metals).
• Monitored trading and account activities, analyzed real-time and historical data using portfolio management/trade surveillance & order execution systems, and detected/alerted/intervened in breaches of internal/external.
• Effectively handle and resolve customer complaints and inquiries by serving as a knowledgeable authority on clients’ complex trading, servicing, and relationship requirements, including those of high-net-worth clientele.
• Build client trust and strive for First Call Resolution, ensuring prompt resolution via phone & email.
• Developed and implemented automation solutions via Microsoft Power Platforms to streamline critical/daily workflows in Excel, Outlook, other Microsoft products, and 3rd party systems, aimed to enhance call handling.
• Promptly maintained up-to-date knowledge of industry trends & news in global markets via CE sessions and courses, analysts reports, and external sources such as Bloomberg, Refinitiv, EDGAR/SEDAR+ amongst others.

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Trading proprietary strategies in equities, FX, cryptocurrencies, options and fixed income products. Part Time until Oct 2021; Full time from Nov 2021 - Sept 2022.

Toronto, Ontario, Canada

• Provided comprehensive financial advice and assistance to clients with investible assets under $5 million CAD in a high-volume contact centre
• Proven ability to build and maintain strong relationships with clients and the business
• Consistently exceeded targets for new client acquisition, sales, retention, and client experience (NPS)
• Adhered to guidelines for client on-boarding process by conducting thorough KYC and providing appropriate advice/education/product recommendation
• Encouraged and aided clients in consolidating-in their funds held with external FI/fund companies
• Executed client solicited and unsolicited orders in line with MFDA & CSA rules, BNS/Tangerine SOP on KYC

Toronto, Ontario, Canada

Education record

Financial Risk Manager (Frm®) Certification [Level 1 Exam Candidate]

Level 1 - Expected completion by Nov 2024 Level 2 - Pending Level 1 - Expected completion by May 2025