Mitt Joshi

Background

About Mitt Joshi

Profoundly skilled and articulate financial professional with over 6 years of comprehensive expertise in complex financial products, spanning retail/business banking and wealth management. Currently serving in Wealth Operations at TD (Private Wealth Management) in Toronto. In my current role, I ensure CIRO, IIROC, AML, QI, and FATCA/CRS compliance for High-Value account requests. With exceptional verbal/written communication and active listening skills, I own and resolve over 100 escalated requests a month within escalation SLA. My proficiency includes conducting due diligence, ensuring accurate documentation consistent with KYC/AML rules & regulations, and reporting/escalating risk issues or process gaps. I have contributed significantly to TD, creating the TRAC system guidebook and being recognized as a Tax Dashboard champion. Collaborating closely with other departments, such as Compliance, Technology, and Sales teams, I communicate KYC requirements and provide guidance on initial standard due diligence and ongoing monitoring of clients. Furthermore, my involvement in the development of Wealth Virtual Assistant—an AI tool for operational queries—and Tableau Dashboard for Tax Remediation underscores my commitment to innovation. Prior to TD, I served at CIBC as a Financial Services Representative and Maintenance & Control Officer, where I proactively promoted and sold diverse financial products, conducted pre-screening for lending products, and maintained precise information entry on credit and investment files, ensuring consistency with risk and governance policies. My career journey also includes a role at Wipro Ltd as a Junior Analyst (AML/KYC), where I authorized over 400 SWIFT MT102, 204 transactions daily to identify potential laundering practices and counterfeit payments. Education-wise, I hold > Bachelor of Management Studies from Mumbai University, India (2016)> Postgraduate in Global Business Management from Centennial College, Toronto (2019)> IFIC/Mutual Funds Certification from CSI, Toronto (2019) I am recognized for my conflict resolution skills, adept handling of high-volume inquiries in deadline-driven environments, and experience in training new staff on QI/AML/ATF policies and procedures. Highly organized, detail-oriented, and skilled at prioritizing tasks, I thrive in fast-paced environments. My technical forte includes proficiency in : ISM, World Check, Acuity Compliance, SWIFT, Wealth 360, CGI CORE, and Microsoft Office