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• Clearly communicate account documentation issues to CIBC partners and clients, assisting in their resolution• Recommend strategies to enhance the client experience and mitigate risks related to account processes• Conduct efficient reviews to meet ISI timelines and individual management targets• Engage in special projects, committees and audit events as directed by management

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) in accordance with margin requirements, exchange & regulatory (CSA/IIROC/FINRA/SEC/CFTC) rules, UMIR, and CIBC P&Ps.• 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 rules and policies to protect market integrity and mitigate risk to CIBC and its stakeholders.• 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, effectively manage client interactions/notes/follow-ups, and mitigating risk• 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• Adhered to rules and procedures set forth by the compliance teams and bank’s SOP, as well as those outlined in provincial/federal legislation and the MFDA

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