Saloni Thakor

Compliance Professional, Securities Administrator

Talent

Calgary, AlbertaMember since May 25, 2025

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About

Open to opportunities in Financial Services | Compliance | Risk Management | Securities Administration

Compliance-focused financial services professional with 3+ years of proven expertise in AML/KYC compliance, regulatory adherence, and risk assessment. I bring a track record of maintaining zero compliance violations while managing over 500 client files and processing 200+ monthly transactions with 99.8% accuracy.

What I Bring to Your Organization:

Regulatory Excellence: Deep experience with FINTRAC, INTERAC systems, CDD/EDD procedures, and financial crime risk assessments. Successfully managed complex compliance requirements across retail banking and securities administration environments.

Process Optimization: Consistently deliver measurable results – achieved 30% efficiency improvements through process enhancements and maintained 95% first-contact resolution rates in customer-facing roles.

Technical Proficiency: Advanced skills in Lexis Nexis, Salesforce CRM, SQL, and comprehensive Microsoft Office Suite, enabling seamless integration into existing workflows.

Continuous Learning: Currently pursuing Canadian Securities Course (CSC) certification, demonstrating commitment to staying current with industry standards and expanding professional capabilities.

My Approach:

I combine meticulous attention to detail with collaborative problem-solving to ensure organizational compliance while supporting business growth. Whether training new team members, streamlining workflows, or managing high-volume client portfolios, I consistently exceed performance standards while maintaining the highest regulatory integrity.

Ready to contribute to your compliance and risk management objectives. Let's connect to discuss how my expertise can support your organizational goals.

Experience

Securities Administrator | Olympia Trust Company, Calgary, AB (June 2023 - October 2024)

Processed 200+ client financial and non-financial transactions monthly with 99.8% accuracy rate
Maintained client files with zero compliance violations, consistently meeting all audit standards
Reviewed 75+ weekly documents for account openings, purchases, client updates, and distributions
Resolved 40+ monthly client issues through collaborative problem-solving
Trained new team members on company procedures and regulatory requirements
Streamlined business processes, achieving 30% efficiency improvement
Managed 50+ daily tasks in fast-paced environment while maintaining 99% attention to detail
Actively participated in weekly team meetings and contributed to 4 major department projects annually
Stayed current with industry regulations and Olympia's evolving product offerings

Client Analyst: AML & KYC Officer | Butterfield, Halifax, NS (September 2022 - June 2023)

Managed 50+ client onboarding, periodic reviews, and trigger reviews monthly with on-time completion and 80% quality scores
Conducted comprehensive financial crime risk assessments for 200+ client relationships
Reviewed CDD, EDD, SOW & SOF documentation for individuals, retail banking clients, and Approved Introducers
Performed detailed adverse media searches to identify potential high-risk factors
Reduced compliance risks by 30% through proactive risk assessment procedures
Documented detailed Source of Wealth/Funds rationales for regulatory compliance
Analyzed client summaries from Front Office teams with 24-hour response time for documentation guidance
Reviewed tax documentation for accuracy and regulatory compliance
Maintained strict adherence to banking confidentiality standards and company policies

Customer Service Representative | Butterfield, Halifax, NS (November 2021 - September 2022)

Achieved 95% first-contact resolution rate across multiple channels (email, phone, online banking)
Handled 75+ daily customer interactions while maintaining high satisfaction ratings
Successfully recovered funds from overdrawn accounts using persuasive communication techniques
Approved/declined transactions for overdrawn accounts following established protocols
Escalated complex issues with timely follow-up and resolution tracking
Maintained comprehensive knowledge of all banking products, services, rates, and fees
Consistently exceeded performance standards for response times and call resolution metrics

Education

Professional Certifications & Continuing Education

Canadian Securities Course (CSC) - In Progress, Calgary, AB
Customer Service in AI - LinkedIn Learning, February 2025, Calgary, AB

Academic Qualifications

Diploma in Advanced Biotechnology - Centennial College, Toronto, ON (December 2019)
Bachelor's Degree in Microbiology - Sardar Patel University, India (June 2017)