Verified recordFinancial Services

Hari Sharma

Corporate Branch Manager at Monarch Wealth Corporation

Based in Canada

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Seniority

Manager

Department

General Business & Management

Location

Canada

Industry

Financial Services

Company size

Contact information

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h•••••••@monarchwealth.ca

Phone

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Background

About Hari Sharma

Over 15 years of Compliance experience at IIROC/CIRO Dealer Member Firms and Banks Expertise in Banking procedures such as Operational Compliance, AML and KYC, Deposits, Domestic & International remittances, FX, Money Market operations, etc.Monitor daily AML- deposits over 50K Monitor Financial Services Advisors and Branch activities, including Tier 1 daily and monthly reviews for instances of non-compliance Monthly Price testing & Segregation review Monthly high risk & PEP accounts monitoring Monthly Fund fact delivery monitoring Experienced in performing Branch Reviews/Examinations & supervision of registrants per IIROC regulations Successfully managed regulatory audits/examinations and filling of NRD, CE, PLR updates, and other regulatory reports.

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