MBA, CFA, FRM, CAIA
Resume:
NAVRAJ SINGH
Edmonton, AB T6H 4L5
*******@*******.***
PROFILE
-More than 15 years of progressive experience in finance, risk, and project/control management. Excellent communication skills to deal with the front office, finance, technology, operations, compliance, and audit
-Solid product experience in equities, fixed income, FX, derivatives, underwriting, and securitization. Thorough understanding of market risk measurement and management techniques, including stress testing and VaR
-Proficient in MS Office applications, Tableau, and SQL. Advanced skills in Excel (including pivot tables, VBA, and @Risk for Monte Carlo simulation and financial modeling). Familiar with sourcing data from market vendors, such as Bloomberg and Thomson Reuters
EDUCATION
MBA
University of Alberta, June 2002
-3.93 GPA (8.8 on a 9-point scale) in the graduating year of the program
-Provincial Graduate Student Scholarship (2002)
-Canadian Association of Petroleum Producers Graduate Scholarship in Business (2001)
BSc with Specialization (Psychology)
University of Alberta, June 2000
-Alberta Heritage Foundation for Medical Research Summer Studentship (1998)
BSc with First Class Honors (Neuroscience)
University of Alberta, June 1997
-First Class Standing – Dean’s Honor Roll (1995-1997)
-Alexander Rutherford Scholarship (1993)
PROFESSIONAL DESIGNATIONS
CFA (Chartered Financial Analyst) since September 2005 CFA Institute
Society CFA Scholarships, twice awarded (2004 & 2005)
FRM (Financial Risk Manager) since April 2008
Global Association of Risk Professionals
CAIA (Chartered Alternative Investment Analyst) since October 2010 CAIA Association
WORK EXPERIENCE
Capital Planner, Treasury Board and Finance (November 2024 – November 2025) Government of Alberta (Edmonton, AB)
Support budget and reporting activities related to the capital plan
Implement and report the capital maintenance and renewal program
Lead the continuous improvement of common methods, guidelines and techniques to define, assess, categorize and manage infrastructure requirements at a government-wide level
Provide input and support to various cross-ministry task groups and working committees relating to management reporting, project prioritization, capital renewal and maintenance, escalation management, alternative financing, asset management and performance measurements for infrastructure facilities
Vice President, Senior Auditor (April 2023 – September 2023) JPMorgan Chase (Jersey City, NJ)
Led and participated in the audit coverage of derivative transactions regarding compliance with the Dodd-Frank Act, including the Volcker Rule
Partnered with stakeholders (i.e., risk management, compliance, external auditors, regulators), establishing strong working relationships while maintaining independence
Finalized and communicated audit findings and used judgment to provide an overall opinion on the control environment by developing recommendations to strengthen internal controls
Vice President, Compliance Testing Group (October 2021 – January 2023) Goldman Sachs (New York, NY)
Performed compliance reviews covering FX sales, trading, and cash management activities in the firm’s Global Banking & Markets division
Presented compliance, reputational, or supervisory risk findings to senior stakeholders (i.e., front office, compliance, legal, controllers, operations) and collaborated with them to develop remediation plans to address these risks
Vice President, Equities Business Control Management (November 2017 – September 2021) JPMorgan Chase (New York, NY)
Managed the 1st line of defense across Equities in the US, including Prime Finance that provides brokerage, synthetic financing, and securities-based lending to hedge funds
Led monthly business control forums for Prime Finance with senior management that discussed front office supervision, market, credit, and operational risks as well as regulatory obligations
Produced an innovative solution that forecasts the risk exposure of pending transactions to prevent losses arising from swap-hedge mismatches
Prepared the business for internal/external audits and regulatory engagements
Reviewed internal risk events for recurring trends and perform deep dives, which included improving controls to mitigate the risk of manual order miscommunications and inaccurate client invoicing
Coordinated periodical evaluation and substantiation of controls within the RCSA
Senior Manager, Trade Floor Risk Management (May 2015 – October 2017) Scotiabank (Toronto, ON)
Completed projects covering the P&L attribution under the Volcker Rule and risk reporting of fixed income – credit, –rates, equities, derivatives, FX, energy and commodities, hedge funds, and prime services lines of business
Provided business support including answering ad hoc queries, user training, developing project plans, monitoring progress against planned objectives, and obtaining consensus and cooperation from users and senior management
Senior Manager, Product Control (May 2014 – May 2015) HSBC (Toronto, ON)
Managed valuation control functions for the financial reporting of the trading desk, including IPV/IMTM, CVA/DVA, aging, and liquidity reserve adjustments. This included supervision of a team of analysts supporting these controls
Produced daily, monthly, periodic, and ad-hoc reporting of the Bank’s trading assets and liabilities of fixed income, FX, derivatives, and debt as well as equity underwriting activities Senior Project Manager (contract) (November 2013 – May 2014) Bank of Montreal (Toronto, ON)
Responsible for setting up business processes to sell ETF equity and bond-related products internationally, managing long-distance relationships with key stakeholders
Managed work streams in portfolio management, IT, marketing, legal, human resources, and operations within Global Asset Management to ensure the successful completion and launch of a new product line
AVP, Portfolio Manager (July 2012 – October 2013)
Horizons Exchange Traded Funds (Toronto, ON)
Designed a dynamic covered call model for an ETF that drives all option trading decisions of each constituent in the S&P 500 Index. Worked with various stakeholders in the CBOE and S&P to model and create the SPXCC Index, a flexible strike price covered call strategy Senior Manager, Equity Derivatives (October 2009 – February 2012) CIBC (Toronto, ON)
Managed a group of 5 middle office analysts to produce the daily and monthly financial reporting of the equity derivatives’ desk
The daily reported P&L of trading strategies included constant proportion portfolio insurance
(CPPI), index as well as single stock options and swaps, equity-linked GICs (CDs), futures/forwards, and portfolios sustaining delta neutrality
Conducted monthly independent price verification (IPV/IMTM) and valuation adjustment processes to ensure accurate valuation of portfolios
Associate (August 2005 – September 2009)
RBC Capital Markets, Global Credit (Toronto, ON)
Managed a portfolio of corporate credit and trading (derivative) accounts in the mining
(mostly precious metals) and infrastructure industries
Prepared submissions of all ongoing credit transactions, including applying for and monitoring derivative trading lines. Also responsible for preparing submissions regarding renewals, amendments, waivers, and annual reviews to maintain the portfolio
Ensured that compliance standards related to exposure, economic capital, structural subordination, and loan-to-value ratios are consistently applied
Associate, Commercial Credit (January 2004 – July 2005) CIBC (Winnipeg, MB)
Performed credit and financial analysis, both for existing clients and for new financing opportunities, by producing financial models and undertaking comprehensive industry analysis
New Markets Manager (May 2002 – January 2004)
EPCOR Merchant & Capital, LP (Edmonton, AB)
Produced a credit risk valuation model to determine credit premiums for various S&P ratings to be applied to a portfolio of competitive power contracts. This project involved significant financial and stochastic modeling as jump diffusion processes were utilized
Developed a financial model to securitize a receivable in excess of $190 million that resulted in lower surcharges for the majority of customers
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