Rupinder Singh Email & Phone Number

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Pune, Maharashtra, India

o Initiating recertification (KYC review) prior to 3 months of review expiry date and taking relationship managers sign off to check if client is having activity and valid to go through KYC. o Document EDD review findings to include all pertinent facts and information, such as the preparation of narrative reports summarizing actions, findings and recommendations for next steps. o Assist in the administration and review of Client Risk Scoring, Client Identification and KYC documentation oversight/management requirements. o Screening of UBOs, Senior managing officials & shareholders to verify there is no association with kind of criminal and reputational risk, terrorism financing, money laundering and political exposure. o Perform Quality Checks of EDD reviews to ensure that the required EDD efforts and documentation are in accordance with applicable policies. o Assist with Quality review to ensure that information obtained is consistent with AML Policy and Procedures and satisfies regulatory requirements. o Escalate high risk and out of order records to relationship manager and AML Operations Manager. o Communicating directly with front office and client to obtain KYCS documentation or validation. o Provided training to new partners and conducted cross training sessions for the partners. o Handling escalation from the Team members, senior officers and take necessary action via call and emails.

Pune, Maharashtra, India

o Conducting regular checks as per Risk Management / Compliance guidelines. o Ensuring 100% accuracy and avoiding unlawful and illegal transactions. o Eliminated discrepancies in financial reporting and recordkeeping through accurate preparation and management of budgets. o Evaluated and adopted new technologies to enhance and address changing customer needs. o Maximized team knowledge and productivity by training, monitoring and directing employees in application of best practices and regulatory protocols. o Handling escalation from the Team members, senior officers and take necessary action via call and emails. o Researched and recommended process improvements designed to mitigate operational and financial risk. o Analyzed Financial statements and reports, Identified and evaluated potential Investment opportunities, and assisted in the asset allocation. o Monitored the performance of the Investments, developed financial forecasts and pro-actively participated in the weekly team meetings with the investment committee. o Close the client’s account and review the complete offboarding of the client.

Pune Area, India

o Prepare cash and currency reconciliation reports for counterparty accounts. o Monitored and Managed cash flow and expenses. o Client Service and direct Client communication. o Performed daily accounting of assigned funds and performed data analysis for critical decision-making process. o Preparation and reviewing of year-end accounts and annual returns for the SMSF clients. o Deliver operating efficiencies through CLASS Super and business systems. o Preparing electronic workpaper for audit. o Estimating client Tax calculations.

Postgraduate Degree Financial Planning, Finance, General, Dean'S Honour List

Foundational Skills of Financial Planning, Fundamentals of Financial Planning, Risk Management & Insurance, Consumer Credit, Canadian.

Bachelor Of Business Administration, Finance, General, A+

Developed personally through various activities and resources by maintaining balance between studies and social life.