Vladimir Levtsun

Risk Manager at TMX Group
  • Claim this Profile
Contact Information
us****@****om
(386) 825-5501
Location
Toronto, Ontario, Canada, CA
Languages
  • English Full professional proficiency
  • Ukrainian Native or bilingual proficiency
  • Russian Native or bilingual proficiency
Skills

Topline Score

Topline score feature will be out soon.

Bio

Generated by
Topline AI

5.0

/5.0
/ Based on 2 ratings
  • (2)
  • (0)
  • (0)
  • (0)
  • (0)

Filter reviews by:

Jake Douglas

Vlad is a strategic partner who is comfortable challenging the status quo in an effort to improve the overall process for all. He is a very talented professional who can be relied on to deliver.

Joseph Mari

I had the pleasure of working with Vladimir in Q3 of 2015. Vladimir joined the Capital Markets AML FIU team as a Trainee Analyst however he was quickly converted to a Seasoned Analyst. This conversion was one of the fastest the Capital Markets AML FIU team ever had. Vladimir was able to achieve this incredible feat through his strong desire to learn, one which started with him requesting training material prior to his official start date. In additional to this propensity to learn, Vladimir was also very well-liked by his peers and his team fit could not have been better. If I had the chance I would definitely higher Vladimir again.

You need to have a working account to view this content.
Join now
You need to have a working account to view this content.
Join now

Credentials

  • Canadian Securities Cource
    Canadian Securities Institute
    Mar, 2015
    - Nov, 2024

Experience

  • TMX Group
    • Canada
    • Financial Services
    • 700 & Above Employee
    • Risk Manager
      • Sep 2020 - Present

      • Participant and Clearing Member Creditworthiness monitoring and reporting;• Financial Due Diligence for Limited Clearing Members, Settlement Banks, and Critical Service Providers; • CDS/CDCC Recovery Planning, Default Management, Regulatory Disclosure;• Development of financial risk governance framework (Credit, Market and Liquidity Risk Management, Tiered Participation);• Design of the second-line financial risk management process, and second-line project management. • Participant and Clearing Member Creditworthiness monitoring and reporting;• Financial Due Diligence for Limited Clearing Members, Settlement Banks, and Critical Service Providers; • CDS/CDCC Recovery Planning, Default Management, Regulatory Disclosure;• Development of financial risk governance framework (Credit, Market and Liquidity Risk Management, Tiered Participation);• Design of the second-line financial risk management process, and second-line project management.

  • Richardson Wealth
    • Canada
    • Financial Services
    • 700 & Above Employee
    • Sr. Risk and Compliance Associate
      • Feb 2018 - Sep 2020

      • Developed Enterprise Risk Management (ERM) framework, including value proposition, policies and risk appetite statement, governance structure and risk assessment methodology;• Executed KRI/KPI metrics expansion project to ensure coverage of all functional business units;• Led the implementation of Enterprise Risk Management tool project;• Prepared agenda, reports and risk memos for recurring Executive Risk Committees and the Audit Committee of the Board of Directors;• Oversaw the resolution of the open regulatory audit findings to ensure findings’ closure and availability of respective evidences;• Executed internal risk assessment of core structural business units.

    • Sr. AML and Compliance Officer
      • Jul 2017 - Feb 2018

      • Redesigned Anti-Money Laundering program including client screening and risk rating methodology, annual training for all employees;• Led resolution of a backlog of AML/ATF alerts within deadline including a design of the alert adjudication process and client risk-rating procedure;• Developed annual AML/ATF and annual Compliance training and ensured its completion by all employees within a deadline;• Created KRI/KPI metrics reporting to the UDP committee and Board of Directors;

  • BMO
    • Canada
    • Financial Services
    • 700 & Above Employee
    • Sr. Regulatory Control Analyst
      • Jul 2015 - Jul 2017

      • Spearheaded annual FMI regulatory project in response to a regulatory ask form OSFI;• Coordinated development of several Internal Authorizations processes for various Lines of Business (LOB);• Participating in the development of the internal website for the Independent Controls Department;• Monitored the segregation desk performance to ensure IIROC Segregation requirements are met;• Analyzed several Internal Authorization guidelines and prepared a comparative gap analysis in order to standardize develop unified company standards;

    • Capital Markets AML Analyst
      • Apr 2015 - Jul 2015

      • Collected and analyzed a wide variety of information related to system generated alerts to identify persons and entities that may be laundering money or funding terrorism, escalated as appropriate for further investigation or reporting in accordance with defined processes and legislation.• Supported the fulfillment of necessary reporting requirements by ensuring accurate documentation, timely disposition and provision of critical information assessment as required.• Acted as the subject matter expert on AML/ATF issues as they related to enhanced due diligence on high-risk customers for BMO Financial Group operating groups.• Performed special projects as requested by the Senior Manager, AML Governance & Oversight.• Provided recommendations in terms of the AML/ATF software updates.• Developed knowledge of various AML and Operations software: Oracle Mantas, Norkom, CMCIF, iTracs.

    • Regulatory Control Analyst
      • Sep 2014 - Apr 2015

      • Used various reporting software and depositary systems such as CDS, DTCC, BONY Fedwire, Broadridge, Panagon, to ensure that client fully-paid-for short positions are segregated from the firm’s assets and escalated potential violations to the senior management.• Managed to streamline the segregation process by 30% within a 4-month period.Successfully created a cross-training system for the “Regulatory Controls Monitoring” department.• Updated Standard Operating Procedure (SOP) with respect to the Compliance requirements.• Participated in the developed the Signature Card authorization system for Fund Transfers and Cheque approvals.• Participated in a “Financial Crisis Management” project in response to the CDIC request.

  • HUB Financial Inc.
    • Canada
    • Financial Services
    • 100 - 200 Employee
    • Compliance Officer
      • Apr 2014 - May 2014

      • Analyzed internal policies and procedures for compliance with regulatory requirements (MFDA, OSC, FINTRAC).• Spearheaded the development of risk mitigation strategies related to Money Laundering and Terrorist Financing.• Conducted daily trade and trend reviews with WealthServ Investments.• Participated in creating the annual AML training program and new AP’s compliance training course.• Reviewed APs’ web sites to ensure compliance with social media regulatory requirements.• Conducted pre-audit client file review to ensure compliance with documentation and suitability requirements;

Education

  • University of Toronto
    Postgraduate Certificate, Risk Management
    2018 - 2019
  • Seneca College
    Postgraduate Certificate, Financial Services Compliance Administration
    2013 - 2014
  • Seneca College
    Postgraduate Certificate, Fraud Examination and Forensic Accounting
    2012 - 2013
  • Kyiv National Economics University
    Master's degree, Accounting and Audit
    2010 - 2012
  • Poltava Cooperative Institute
    Accounting and Audit
    2007 - 2010

Community

You need to have a working account to view this content. Click here to join now