Experience

BMO Nesbitt Burns

• Canada
• Investment Management
• 700 & Above Employee

• Regional Director - Supervision

  • Apr 2021 - Present

   Make recommendations to senior leaders on strategy and new initiatives, based on an in-depth understanding of the business/group. Perform supervision activities to meet regulatory requirements and maintain service level standards. Apply expertise and think creatively to address unique or ambiguous situations and to find solutions to problems that can be complex and non-routine. Recommend business priorities, advise on resource requirements and develop roadmap for strategic execution. Lead the effective implementation of supervision initiatives and programs for the region.  Participate in defining the communication plan designed to positively influence or change behavior; develop tailored messaging; and identify appropriate distribution channels. Oversee and approve changes Policies and Procedures Manual as required by internal and external changes. Direct development of supervision contingency plans to support stable operations both at the region and branch level. Follow through on risk and supervision processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function.

• Manager - Trade Surveillance

  • 2017 - Apr 2021

   Monitor, analyze, and critique applicable surveillance reviews conducted by team to ensure compliance with IIROC, UMIR, CSA, Provincial Securities Commissions, AML regulations and internal policies and procedures Review, update and proactively establish standards, policies, and procedures for the effective implementation of regulatory and firm compliance programs including, but not limited to, daily and monthly supervision reports, employee pro review process, compliance manual, and trade desk review Ensure effective reporting structure and escalations processes are in place to identify risks and/or gaps that need to be mitigated Ensure team is conducting and completing accurate and timely reviews within Regulatory and compliance program timeframes Plan and execute M&T activities within the ECP framework Responsible for selection, guidance, and training the team Provide regular performance feedback to the team through status meetings, creation of development plans, and performance assessments



RBC

• France
• Design Services
• 1 - 100 Employee

• Manager - Trade Surveillance

  • Feb 2012 - Apr 2017

• Trade Surveillance Officer

  • Oct 2011 - Apr 2012



RBC Direct Investing

• Canada
• Financial Services
• 200 - 300 Employee

• Investment Representative

  • 2010 - 2011

• Mutual Fund Specialist

  • 2008 - 2010