Open to opportunities

Deep Patel

@deeppatel

Message

Experienced Compliance and Financial Services professional

Canada

Message

What I'm looking for

Seeking a challenging role in compliance and financial services

As a seasoned Compliance and Financial Services professional, I bring over 4 years of experience in regulatory compliance, risk management, and financial advisory. My expertise lies in handling complex complaints and investigations, conducting risk assessments, and implementing compliance frameworks that enhance operational efficiency.

I have a proven track record of building strong client and team relationships, driving process improvements, and delivering detailed compliance reporting to executives. My achievements include being promoted to Senior Compliance Officer within 18 months of hire, successfully conducting investigations, and designing and executing a monitoring and testing program that led to significant compliance improvements.

I am well-versed in aligning organizational operations with CSA/CIRO, FSRA, CLHIA frameworks and securities and insurance regulations. I am a strong leader and collaborator, with experience in mentoring and training team members, and serving as a trusted advisor to executives, legal, and HR teams.

Experience

Work history, roles, and key accomplishments

Current

Senior Compliance Officer

Current

BMO Private Wealth

Oct 2023 - Present (1 year 8 months)

Currently managing sensitive regulatory investigations and preparing detailed compliance reports for executives. Conducting risk-based transaction monitoring and providing strategic recommendations to enhance compliance frameworks.

Regulatory Compliance Risk Assessment AML Investigations Compliance Reporting Stakeholder Engagement Process Improvement Critical Thinking

Compliance Officer

BMO Private Wealth

Apr 2022 - Oct 2023 (1 year 6 months)

Managed regulatory investigations and escalated complaints, providing detailed reports to senior management. Conducted AML-related investigations and implemented compliance tools to improve response efficiency.

Regulatory Compliance AML Investigations Compliance Reporting Risk Management Process Improvement Cross Functional Collaboration Compliance Reporting

Financial Services Consultant

Sun Life

Mar 2021 - Apr 2022 (1 year 1 month)

Engaged with clients to identify financial needs and recommend tailored solutions. Delivered training on digital platforms and collaborated with stakeholders to stay updated on products and regulations.

Financial Products Client Engagement Digital Training Delivery Regulatory Compliance

Financial Advisor

Sun Life

Jul 2019 - Feb 2021 (1 year 7 months)

Conducted needs analyses and delivered customized financial plans. Managed client portfolios and processed mutual fund transactions while ensuring compliance with regulations.

Financial Planning Customer Management Regulatory Compliance Sales Cycle Management KYC Presentation Skills Problem Solving

Education

Degrees, certifications, and relevant coursework

Evergreen College

Diploma, Accounting

2016 - 2017

Earned a Diploma in Computerized Accounting and Payroll, equipping with essential skills in financial management, accounting principles, and payroll processing.

Gujarat Technological University

Bachelor's degree, Science

2010 - 2014

Completed a Bachelor's degree in Science, focusing on various scientific principles and methodologies, which provided a strong foundation for analytical and problem-solving skills.