Anuj K. Email & Phone Number

Toronto, Ontario, Canada

• Spearheading automation initiatives to optimize trade reporting and align processes with industry best practices.• Collaborating with Risk, Operations, Finance, and Legal teams to ensure seamless and compliant financial practices.• Developing comprehensive training programs for new hires, focusing on investment strategies and risk mitigation.• Serving as the primary point of contact for portfolio managers and CIOs regarding compliance policies and regulations.• Designing and implementing foreign investment control frameworks to ensure adherence to international regulations.• Assisting the Chief Compliance Officer (CCO) with external audits.

Toronto, Ontario, Canada

• Developed and maintained compliance policies to meet regulatory requirements, streamlining task efficiency and reducing operational time.• Conducted reviews and updates of compliance programs to reflect new regulatory standards and industry best practices.• Provided senior management with guidance on compliance risks and regulatory changes.• Prepared and presented compliance reports to senior leadership, highlighting key risk areas.• Investigated compliance breaches, ensuring timely resolution and risk mitigation.• Collaborated with Legal, Risk, and Operations teams to foster cohesive compliance practices

Toronto, Ontario, Canada

• Executed trades on behalf of high-net-worth investors with a focus on accuracy and compliance.• Collaborated across departments (Risk, Compliance, Securities Lending, Settlements) and external stakeholders (market makers) to solve complex trade issues.• Assisted Senior Traders with risk reviews, margin call sellouts, short position buy-ins, IPOs, and EMPs.

Toronto, Ontario, Canada

• Provided expert guidance on registered and non-registered investment accounts, complex options strategies, and margin requirements.• Utilized internal software, Salesforce, Broadridge, MS Office Suite, and G-Suite to analyze trade and client data.

1 Bass Pro Mills Dr, Concord, On L4K 5W4, Canada

- Engaged and adapted with different customers to uncover their needs requirements and fulfilling them- Provided creative solutions for different issues- Collaborated as a team to achieve sales targets by dividing said tasks- Trained various new hires and led them to fulfill different assignments - Maintained the reputation of the brand and performed tasks in accordance to company policies - Kept up to date information about market trends in the industry

Scarborough, Ontario, Canada

- Communicated with vendors, outside businesses and sponsors to aid students - People management and communication with different department for different tasks- Overlooked financials statements to better execute tasks for students - Voiced student opinions at executive college committee meetings.- After the year end of service, I was felicitated by the federation and the college for the excellent work done through out the term.

Advanced Diploma, Business Administration And Management, General, 3.7 Cgpa

Schooling, Business/Commerce, General, 82% Grade 12 Score