Hari (H.B.) Sharma Cco(qe),Csc,Cph
About Hari (H.B.) Sharma Cco(qe),Csc,Cph
Hari (H.B.) Sharma is a Compliance Officer with extensive experience in regulatory compliance and banking procedures. He holds a Master's in Mass Communication and has completed various courses in securities and compliance from the Canadian Securities Institute.
Current Role at Harbourfront Wealth Management
Hari (H.B.) Sharma has been serving as a Compliance Officer at Harbourfront Wealth Management since 2020. In this role, he oversees compliance activities related to DEA/DMA trading and monitors financial services advisors and branch activities. His responsibilities include conducting Tier 1 daily and monthly reviews for non-compliance and managing regulatory audits and examinations. He ensures adherence to operational compliance, anti-money laundering (AML), and know your customer (KYC) processes.
Education and Professional Development
Hari Sharma holds a Master's degree in Mass Communication from the University of Delhi, completed in 1982. He also earned a Bachelor of Commerce (Honours) from the same university between 1974 and 1977. His professional development includes various certifications from the Canadian Securities Institute in Toronto, such as the Chief Compliance Officer (QE) designation in 2020, the Canadian Securities Course in 2014, and the Conduct and Practice Handbook Course in 2014. He has also completed a Diploma in Computer Programming from NIIT Delhi.
Professional Background
Hari Sharma has a diverse professional background with over 10 years of experience in compliance roles at IIROC Dealer Member Firms and banks. He previously worked at Global Maxfin Capital Inc. as a Compliance Branch Manager and Registration Officer from 2016 to 2018. His earlier roles include serving as a Compliance and Registration Officer at Global Maxfin Capital Inc. from 2014 to 2016, and as a Personal Portfolio Administrator at CIBC from 2012 to 2013. He also held various positions at Bank of Baroda, including Manager of Foreign Exchange and Public Relations.
Achievements in Compliance and Regulatory Management
Throughout his career, Hari Sharma has successfully managed regulatory audits and examinations, including the filing of NRD, CE, PLR updates, and other regulatory reports. He has expertise in conducting branch reviews and examinations, ensuring compliance with IIROC regulations. His experience includes overseeing syndication approval and reconciliation tasks, as well as engaging in media monitoring and email surveillance as part of his compliance duties.