Ronak Kirthivasan Email & Phone Number

Toronto, On, Ca

Toronto, On, Ca

Toronto, Ontario, Canada

Process registration forms and related materials with respect to licensing, material changes, and terminations, through the NRD and insurance councils for Aviso's representatives.Escalate applications and material changes to the Manager, Registrations where screening guidelines are not met, a financial/regulatory/criminal/civil or other misconduct is disclosed, as well as additional requests outside of documented processesTrack registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with the Securities/Insurance Act and SRO restrictions for the relevant categories of registration as well as track other licenses, designations, and outside activitiesProcess applications, changes and terminations to Errors & Omissions Insurance coverage, coordinating with E&O provider, as applicableLiaise with Aviso staff, Registrations personnel, provincial regulators, E&O provider and Credit Unions on registration related matters, to obtain information and materials related to registrations and E&O, to ensure compliance with regulatory requirements, and to co-ordinate advisor onboarding and offboarding processesRespond to financial institution registration and E&O related inquiries and requests from the regulators and from within Aviso and conduct relevant research as required and provide resolutions for any outstanding registration issues and deficienciesMaintain current databases (i.e. CLRS, Univeris, Supervision INSIGHTS, NRD, WIP spreadsheet, Advisor Listing spreadsheet) with applicable registration and related informationProvide assistance and feedback to the compliance team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Aviso registrations and licensingRespond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration feesTracking of all QA and QAM New Advisor/Rep Supervision

Toronto, Ontario, Canada

• Communicate new regulatory developments to business leaders• Maintained and revised policy procedures for general operation of compliance program.• Gather relevant records from internal departments and Maintain list of open files and assigned resources• Provide administrative support to compliance team and support regulatory compliance initiatives• Review new account application forms, subscription agreements and account opening• Documentation for accredited investors (EMD clients)• Conduct initial and ongoing due diligence of service providers• Maintain AML database and review client-level AML risk• Oversee and complete reporting, analysis and record keeping of various internal and external logs• Assist the Operations Department and other ad-hoc duties as required• Planned and executed compliance audits to check company policies, procedures and controls

Vaughan, Ontario, Canada

Provide guidance with any changes with the internal Stakeholders• Establish and co-ordinate administrative policies and procedures for the office• Creating, reviewing, and submitting assessment reports to appropriate stakeholders of the office.• Prepare agendas and make plans for committee, board and other meetings for the stakeholders• Conduct research, compile data, trade supervision and prepare papers for clients• Analyzing client portfolio and checking whether all the documents are within compliance approved.• Applying and preparing insurance and Investment documentation for the clients and speaking with therepresentative to get the application status.• Helping Agents to set up for Regulatory Examination• Filing document as requested by compliance and with regulatory standards• Ethical handling of Client Escalation and find solutions using collaborative approach.• New Staff Training and Coaching them for Trade Surveillance• Handling the entire office supplies, Inventories, conference, training agents with the best practices of the industryand establish office procedures.• Used CRM tool called “All Clients” in to order to get client details, trends and performance, document requiremtn

Chennai, Tamil Nadu, India

• Actively participate or lead data gathering workshops for business requirements focusing beyond immediate needsto future working environment.• Model business processes and/or data.• Research, analyze and document clear and complete business requirement/ specifications.• Develop business specifications to address simple to highly complex business needs that may cross varioustechnologies, applications, and business areas.• Liaise with the business systems analysts during the Design and Development stages.• Create and/or review test strategy and BA test matrices, execute BA testing.• Assist the business and project manager/practice leader to resolve change management issues.• Facilitate the handover to Quality Assurance and to implementation.• Provide business analysis support during functional and integrated testing of the applications.• Define business analysis and testing estimates for proposed application solutions• Work closely with business systems analysts in Actuary and IT• Worked with Salesforce and JIRA

Post Graduate Certificate, Financial Planning And Services

Master'S Degree, Finance, General

B.C.A, Computer Applications

Education record