Udai Agarwal Email and Phone Number
Udai Agarwal personal email
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Investments trading and compliance professional experienced in working in a fast-paced environment with strong organizational, technical and interpersonal skills. A productive team member, who takes lead, excels and adapts quickly in new environments while bringing attention to detail and delivering results.
Questrade Financial Group
View- Website:
- questrade.com
- Employees:
- 1841
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Compliance Analyst (Trade Surveillance)Questrade Financial GroupToronto, On, Ca
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Compliance Analyst, Complex Accounts OnboardingQuestrade Financial Group Sep 2023 - Nov 2024Toronto, Ontario, Ca- Reviewing New Account Applications, including Individual, Corporate, Forex and Trust Accounts.- Proactively following up on issues related to entity documentation, and escalated high-risk clients for Enhanced Due Diligence.- Providing in-the-moment support to the Sales team for all account opening issues.- Supervising Forex Account application process, including clients that required accreditation.
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Compliance Analyst (Trade Surveillance)Questrade Financial Group Apr 2021 - Sep 2023Toronto, Ontario, Ca- Conducting surveillance on client trading activity, registered traders, business conduct, and other compliance related requests.- Perform day-to-day compliance monitoring and testing associated with Questrade self-directed trading and reviewing KYC account openings.- Expert in the employee onboarding process, reviewing employee trading activity (internal and external), investigating flagged trades, pro-actively identifying trade reporting issues.- Complete monthly monitoring of various compliance matters such as Order Protection (best execution), Trade Disclosure (account statements), Electronic trading rule (ETR) testing, KYC of Corporate account openings and External Frontrunning.- Report to the Director of Compliance and support any ad-hoc compliance requests.
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Access-To-SpecialistRbc Direct Investing Dec 2015 - Mar 2021Toronto, Ontario, Ca• Expertise in researching and acting as intermediary with clients and branch partners.• Proven track record of identifying sales opportunities and service level gaps for clients. • Provide Subject Matter Expertise to branch partners for documentation relating to all types of brokerage account openings, transfers and account modifications.• Key member of the FATCA project to ensure accounts are properly documented that has helped clients save money on potential tax penalties.• Received ‘Outstanding’ award (2018) for excellent client service and problem resolution.• Awarded RBC Performance Points from the Head of RBC Direct Investing for successfully refunding the client $6000 penalty from CRA. -
Client Resolution Officer (Pilot)Rbc Direct Investing May 2018 - Jul 2018Toronto, Ontario, Ca• Gained critical problem-resolution skills by performing expert analysis and investigation to each client escalation, and offered custom-made resolution to clients while simultaneously mitigating risk to the business. Successfully resolved 161 escalated cases in 3 months. • Provided in-the-moment support to the inbound investment team in need for assistance in various trading and operational procedures.• Built better relationships with the Middle Office partners by working closely with them to resolve each operational escalation.
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Investments Services RepresentativeRbc Direct Investing Apr 2011 - Nov 2015Toronto, Ontario, Ca• Demonstrated solid knowledge & application of brokerage procedures and processing orders of equities, mutual funds, fixed income securities, options and foreign exchange. • Led complicated conversations with clients regarding trading and operational procedures of the brokerage while consistently following the mandate.• Mentor and train members of the inbound team in areas such as order processing, sales effectiveness, client accommodation and documentation.• Received ‘Outstanding’ award (2015) for excellent client service and work ethic.• Nominated by colleagues for outstanding teamwork and excellent work ethic and nominated by colleague from RBC Royal Bank Branch for excellent client experience.
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Office AdministratorAmecan Inc. Mar 2010 - Mar 2011Ca• Provide clerical and administrative support to a busy private immigration consultancy and supply chain management consultancy. • Schedule appointments on the phone, maintained accurate and up-to-date confidential client files.
Udai Agarwal Skills
Udai Agarwal Education Details
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York UniversityHonours Finance
Frequently Asked Questions about Udai Agarwal
What company does Udai Agarwal work for?
Udai Agarwal works for Questrade Financial Group
What is Udai Agarwal's role at the current company?
Udai Agarwal's current role is Compliance Analyst (Trade Surveillance).
What is Udai Agarwal's email address?
Udai Agarwal's email address is ud****@****ail.com
What schools did Udai Agarwal attend?
Udai Agarwal attended York University.
What skills is Udai Agarwal known for?
Udai Agarwal has skills like Time Management, Data Entry, Customer Service, Administrative Assistants, Microsoft Excel, Microsoft Word, Accounting, Finance, Logistics, Filing, Supply Chain Management, Investments.
Who are Udai Agarwal's colleagues?
Udai Agarwal's colleagues are Débora C., Karan Shukla, Rachel Abecassis, Najia Hassan, Renan Nunes Da Silva, Willian Teophilo, Garima Verma (Ca).
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