Sumit Dhawan

Background

About Sumit Dhawan

Results-oriented Banking Professional with a deep understanding of regulatory frameworks, compliance principles, and Canadian Investment Regulatory Organization (CIRO) Holds a Post Graduate Certificate in Global Business Management and a Bachelor of Business Administration Degree with over 5 years of relevant experience in the financial services industry.Completed Canadian Securities Course, Conduct and Practices Handbook Course and Wealth Management Essentials course. Meticulous attention to detail, combined with a growth mindset that embraces continuous learning and improvement.Exceptional ability to work calmly and efficiently in high-pressure, fast-paced trading environments. Strong analytical and written skills, including data review, interpretation and reporting.Enthusiastic about developing technology-inspired ideas to optimize compliance processes.Self-motivated, confident, and proficient in both independent and collaborative work settings.Strong communication and interpersonal skills along with good understanding of features and risk associated with various securities and investment approaches.