Director of Compliance

• Feb 2023 - Present

Compliance & Relationship Manager

• Dec 2020 - Feb 2023

Operations and Compliance Associate

• Jan 2018 - Dec 2020

• Supervised and reviewed all regulated activities to ensure the firm is in compliance with the rules and regulations and guidelines outlined by OSFI, MFDA, GIPS • Identified gaps in the operations department and recommended policies and procedures to the COO • Created efficiencies in the operations by automating process or finding alternate solutions. • Completed regular compliance and due diligence reporting for clients • Provided guidance to the firm on risk management, changes in industry practices and tax reporting • Prepared monthly/quarterly/yearly client and pooled fund financial reporting • Subject matter expert and trainer for operations • Monitoring trade activity to ensure no regulatory or client breaches have been made. • Managed and maintained KYCs Show less

Senior Client Relationship Representative

• Jun 2016 - Jan 2018

•Respond to all client inquires and connect with internal teams to resolve any issues•Track all inquiries and provide trending analysis to improve client experience and service quality.•Respond to client tax filing inquiries and assists with issue resolution during year end taxes.•Key liaison in implementing any new client development and industry requirements•Maintain effective relationships with all our partners and support groups in order to stay current with changes in these environments•Creates and maintains a current and accurate knowledge base of assigned clients’ products and services while maintaining the group knowledge base of standard industry operating processes, procedures and practices •Provide knowledge and guidance to clients, team members and internal support groups on issues that pertain to own area of expertise•Responsible for fund company onboarding, new product launches and mergers Show less

Operations and Risk Control Administrator

• Sep 2014 - Jun 2016

• Ensure all internal/external audit activities have the appropriate discipline and oversight• Lead all facets of the year-end tax reporting preparation • Respond to client tax filing inquiries and assists with issue resolution during year end taxes.• Review and provide sign off on all investor tax filings, ensuring compliance is met with all applicable laws, regulations, and industry best practice/policies • Review and audit all monthly reconciliations of withholding tax remittances to CRA and IRS.• Lead individual dealing with tax audits and assessments for all sectors of the government.• Serve as a primary person managing departmental Risk Management Platform.• Review existing processes and procedures, developing recommendations for Senior Management with the objective of enhancing existing controls from an audit and governance perspective.• Identifying gap areas in monitoring activities and ensure gaps are re-mediated and proper monitoring is developed and implemented.• Support other compliance members as requested.• Lead project planner for all audit and risk process improvement initiatives. Show less

Account Administrator in Untiholder Record keeping

• Jul 2014 - Sep 2014

•Process and post daily cash flow transaction for assigned funds transactions including money movement for clients as instructed, reconciling and balancing accounts.•Process daily trade transfers, wires, cheques using the Content Management System.•Setting up new funds and accounts from incoming client and dealer instructions•Monthly tax payments for clients