Vakhtang (Vince) Beridze

Toronto, Ontario, CA

(416) 887-7357

vberidze88@gmail.com


Professional Summary:

I am a Compliance Officer with AWS certifications looking to transition into IT. My compliance background and technical knowledge enable me to navigate complex regulatory requirements in the context of cloud-based infrastructure and software development. I have experience in developing and implementing compliance programs, conducting risk assessments, managing compliance incidents, and conducting audits. With strong communication skills and the ability to work collaboratively with cross-functional teams, I am confident in my ability to help organizations achieve compliance in the IT space.

Certifications:

  • Certified ScrumMaster (CSM)
  • Microsoft Certified: Azure Fundamentals
  • Google Cloud Certified - Associate Cloud Engineer
  • AWS Solutions Architect - Associate
  • AWS Developer - Associate
  • AWS Cloud Practitioner

Skills:

  • Back-End: Python, SQL
  • Front-End: CSS, HTML, JavaScript
  • Data Visualization: Tableau
  • Databases:
    • Non-relational: Amazon DynamoDB, Azure DocumentDB, Cloud Datastore, MongoDB
    • Relational: Amazon RDS, Azure SQL Database, Cloud SQL, MySQL
  • DevOps: CI/CD: GitHub/GitLab, Docker/Kubernetes, Terraform, Jira/Trello
  • Serverless: AWS Lambda, Azure Functions, Google Cloud Functions

Project Summary:

  • Retrieved documents using HTTP to examine HTTP Response headers.
  • Used Beautiful Soup to parse HTML and XML documents.
  • Used GeoJSON API, Google Maps API and Twitter API.
  • Created, updated and parsed SQL databases using Python.
  • Performed mathematical and statistical work using NumPy and Pandas libraries.
  • Visualized data using Python.

Professional Experience:

iA Private Wealth

Compliance Officer | (11/2022 - Present)

  • Conduct real-time and post-trade surveillance of securities and financial instrument transactions to manage regulatory risks across multiple trading desks.
  • Maintain surveillance logs and optimize the surveillance process to improve efficiency.
  • Develop additional compliance tools and surveillance systems to enhance the trade conduct compliance function.
  • Collaborate with traders and other Capital Markets division members to address regular and ad hoc queries related to trade surveillance.
  • Design and present key performance indicators and reporting on the trade surveillance program and summarize issues for regular reporting and compliance queries.

CIBC Capital Markets

Compliance Officer | (05/2019 - 09/2021)

  • Conducted monthly trade desk testing for compliance with multiple regulatory requirements and CIBC trade desk testing policies and procedures.
  • Investigated, compiled, documented, and prepared reports for regulatory and audit inquiries using ETL methodology and various technology systems, resulting in 100% compliance with regulation reporting.
  • Developed and implemented custom rules to identify cases of regulatory non-compliance and misconduct, and performed deep dives into cases with potential insider trading violations, decreasing CIBC's liability exposure.
  • Contributed to the implementation and refinement of new technology systems for Global Compliance use, resulting in a 1000% efficiency increase.

Associate - Control Room | (09/2017 - 04/2019)

  • Reviewed daily research reports published by CIBC World Markets to identify new coverage or changes in recommendations, and imposed 24-hour research restrictions on the Global Restricted List, leading to a 15% decrease in violations.
  • Produced weekly and monthly reports to Senior Management that increased employee compliance by 25% and analyzed employee trading for potential insider trading, resulting in a 10% increase in compliance.
  • Analyzed requests for pre-approval of personal trades from executives, management, and employees, and entered them into the database accurately and swiftly.
  • Monitored new executive appointments and distributed messages promptly informing executives of their insider reporting status.
  • Improved on-boarding process to increase Universe Coverage by 50% and trained new and existing hires on policies, procedures, and technology systems.

Investment Representative | (01/2016 - 08/2017)

  • Conducted purchases and sales of international equities, new issues, and various investment products up to $5,000,000.
  • Managed offsetting of accounts with negative balances and completed FX currency conversions up to $1,000,000 USD equivalent.
  • Consistently exceeded yearly sales target, bringing in over $650,000 of new business last year.
  • Contributed to the company's success by assisting junior representatives, reviewing trade orders, and training new hires on policies and technology systems.

Additional Certifications:

  • CSI Trader Training Course (TTC)
  • CSI Insider Trading: Regulations and Prevention (IDRP)
  • CSI Ethics for Institutional Registrants (EIR)
  • CSI Best Execution for Institutional Registrants (BEN)
  • CSI Branch Managers Course (BMC)
  • CSI Options Supervisors Course (OPSC)
  • CSI Derivatives Fundamentals and Options Licensing Course (DFOL)
  • CSI Investment Representative Training Program (IRT)
  • CSI Conduct and Practices Handbook Course (CPH)
  • CSI Canadian Securities Course (CSC)