Ather Khan

CFA Level 2 Candidate with 8+ years of financial services experience across trade operations, portfolio oversight, and risk management. Proficient in Charles River, Bloomberg, trade monitoring, and investment transactions. Strong understanding of trading workflows, and institutional and private client operations.

Analyst, Legal and Compliance at Burgundy Asset Management (2025-03 – Present)

• Conduct pre- and post-trade surveillance in Charles River across all portfolios, reviewing investment activity for compliance with regulatory requirements and internal investment policies.
• Perform ongoing compliance monitoring and internal reviews, testing key controls across portfolio management, trading, and investment operations to identify and mitigate compliance risks.
• Prepare and submit 10-15 regulatory filings annually within set regulatory deadlines, maintaining accurate records and supporting audit readiness.
• Update and maintain firm-wide compliance policies and procedures to reflect regulatory changes and evolving business practices.
• Serve as a compliance subject matter expert to internal teams, responding to 50+ inquiries monthly and providing guidance on investment activity, trading requirements, and internal policies.
• Analyze regulatory and investment-industry development, including NI 31-103 requirements, and briefing senior management on potential business impact.
• Collaborate with portfolio managers, traders, and operational teams to investigate and resolve investment-related issues, supporting timely and accurate execution of business activities.

International travel across Asia at Travel Break (Personal Sabbatical) (2023-11 – 2024-09)

Operations Analyst – Adjustments at RBC Investor & Treasury Services (2022-10 – 2023-11)

• Reviewed Letters of Indemnity (LOI) to execute fund trade adjustments following internal risk policies.
• Maintained 100% compliance with CRA regulations by efficiently handling regulatory-sensitive transactions for Home Buyers Plan, and Registered/Locked-In accounts (TFSAs, RRSPs, RIFs, LIRAs, etc.).
• Slashed discrepancies by 50% through implementation of new reconciliation protocols and improved trade settlement accuracy, including P&L and product control measures.
• Facilitated cross-functional vendor projects integrating FundSERV and Unitrax, improving payment accuracy and trade monitoring for over 15 institutional clients.
• Led User Acceptance Testing (UAT) and Production Testing (PIV) for key programs, enhancing functionality and resolving 95% of issues pre-launch.

Administrator – Transaction Processing at RBC Investor & Treasury Services (2018-05 – 2022-10)

• Reduced processing time by at least 70% through the recommendation and implementation of Bulk Data Upload (BDL) for high volume transactions.
• Conducted FX conversions and facilitated SWIFT payments, settlements, and electronic funds transfers (EFTs), in adherence to AML/KYC and regulatory requirements.
• Processed over 1,200 financial transactions (subscriptions, redemptions, and transfers) on a monthly basis.
• Contributed to the audit of adjusted transactions and departmental processes, while maintaining efficiency and accuracy in accordance with KYC (Know Your Client) and CDD (Customer Due Diligence).

Bachelor of Commerce in Finance – Ted Rogers School of Management – Toronto Metropolitan University

Chartered Financial Analyst – CFA Institute