Open to opportunities

Deepanshu Parlani

@deepanshuparlani

Message

Licensed Financial Compliance Professional with expertise in regulatory oversight.

Canada

Message

What I'm looking for

I am looking for a role that offers growth opportunities, a collaborative culture, and the chance to leverage my compliance expertise.

I am a Licensed Financial Compliance Professional with over 5 years of experience in regulatory oversight, portfolio management, and client financial advising. My expertise lies in aligning compliance operations with IIROC, FINRA, and internal policies across U.S. and Canadian financial institutions. I have a proven track record of driving risk mitigation strategies, supporting internal audits, and managing high-value portfolios while ensuring 100% adherence to compliance standards.

In my current role as a Compliance Officer at CIBC, I conduct in-depth trade reviews and monitor Outside Business Activities to ensure compliance with regulatory standards. I have successfully reduced flagged incidents by 35% through proactive controls and have maintained a 100% compliance rating across all trade review audits since my promotion. My previous experience as a Financial Consultant allowed me to deliver client-centric financial advice, expand my client base by 20%, and manage investment portfolios exceeding $5M.

My educational background includes postgraduate certificates in Financial Planning and Accounting, as well as a Bachelor of Commerce in Banking and Finance. I am committed to continuous professional development, having completed several courses through the Canadian Securities Institute and currently enrolled in the Chartered Financial Analyst program.

Experience

Work history, roles, and key accomplishments

Current

Compliance Officer

Current

CIBC

Jan 2025 - Present (4 months)

Conducted in-depth trade reviews and monitored Outside Business Activities (OBA) to ensure compliance with IIROC and internal standards. Performed daily trade surveillance across high-risk accounts, reducing flagged incidents by 35% through proactive controls. Led a 3-person onboarding team to train new hires in compliance protocol and CIBC Systems.

IIROC Compliance Risk Mitigation Policy Implementation Audit Training CIBC Systems

Financial Consultant

CIBC

Jan 2022 - Present (3 years 4 months)

Delivered client-centric financial advice and planning as an IIROC-Licensed advisor. Expanded client base by 20% through targeted outreach and personalized service. Managed investment portfolios and facilitated over $5M in lending/investment solutions.

Financial Advice IIROC Client Management Portfolio Management Compliance Sales

Financial Operations Analyst

Bank of America

Jan 2022 - Present (3 years 4 months)

Executed high-volume bank reconciliation processes and ensured zero error tolerance for audit trails. Resolved 98% of unmatched transactions within 24 hours. Delivered technical reconciliation support across departments while achieving 100% audit compliance.

Bank Reconciliation Financial Operations Transaction Resolution Technical Support Compliance

Investment Specialist & Registered Representative

Bank of Montreal

Jan 2021 - Present (4 years 4 months)

Provided full-cycle wealth management services and compliance monitoring of IIROC trades and portfolios. Managed over $10M in assets and led client-centric investment planning aligned with risk profile assessments. Recognized for 100% NPS Score and reduced client issue resolution time by 30%.

Wealth Management IIROC Portfolio Management Asset Management Risk Assessment

Education

Degrees, certifications, and relevant coursework

Seneca College

Postgraduate Certificate, Financial Planning & Services

Completed a postgraduate certificate program focused on financial planning and services. Gained expertise in various aspects of financial advisory and wealth management.

Symbiosis International University

Bachelor of Commerce (Honors), Banking & Finance

Completed an honors bachelor's degree specializing in Banking & Finance. Acquired comprehensive knowledge of financial markets, banking operations, and investment strategies.

York University

Postgraduate Certificate, Accounting

Obtained a postgraduate certificate in Accounting, developing strong foundational knowledge in financial reporting and analysis. Focused on principles essential for professional accounting practices.