Poonam Kaler Email & Phone Number

Vancouver, BC, CA

- Facilitate and actively participate in operational and management risk committee meetings, providing insights on risks, trends, and issues- Collaborate with business unit leaders to develop and implement Key Risk Indicators (KRIs) to quantify and measure risk appetite- Draft executive and board reports highlighting significant areas of risk, risk.

- Assumed additional responsibilities for Enterprise Risk Management alongside my role as Director of Complaints and Audits- Collaborated with the Chief Risk Officer to develop the ERM Framework and risk appetite statements- Partnered with business unit leaders to identify and evaluate significant risks, ensuring regular updates to the risk register

- Managed client complaints, investigations and audit programs for Investment Industry Regulatory Organization of Canada (IIROC), Mutual Fund Dealers Association of Canada (MFDA), and Insurance platforms- Led ongoing improvements for the IIROC, MFDA, and Insurance audit programs, focusing on enhancing their effectiveness and efficiency, including systems.

- Led all IIROC and MFDA Tier 1 Supervisors and Branch Compliance Managers to ensure regulatory and Qtrade policies and procedures were being adhered to- Implemented Smartsheet.com for tracking outstanding compliance issues and trend analysis - Ensured advisors were up to date on current regulatory requirements and Qtrade policies and procedures by.

- Responsible for MFDA Tier 1 supervision by managing all Branch Compliance Managers and ensuring the proper training was in place and the appropriate reviews were being completed as per regulatory requirements and Qtrade policies and procedures- Managed Registration Officers responsible for all aspects of registration, licensing and E&O insurance with the.

- Devised a risk based formula to rate IIROC and MFDA branches as high, medium and low risk- Created and supported the implementation of the Periodic Branch Visit Program in accordance with MFDA Policy 2- Led the design and implementation of the online Compliance portal for Advisors and Branch Compliance Managers

- Reviewed and approved new account applications and material changes to existing accounts- Conducted daily and monthly Tier 1 supervision of advisor trading activity- Key day-to-day contact for advisors regarding compliance related matters by informing, clarifying and explaining Dealer policy and other regulatory requirements- Created Issue Management Log.

- Established, developed and maintained strong client relationships by understanding clients financial situations, investment goals and risk management objectives

- Built relationships with customers in branch and delivered an outstanding customer experience by meeting their initial needs and identifying future opportunities- Completed financial transactions such as deposits, withdrawals, bill payments and other account transactions for customers in an accurate and efficient manner

Risk Management Certificate

B.Sc., Mathematics