Claudia Leung, CPA CA, MAcc.

Manager, Business Conduct Compliance at IIROC (Investment Industry Regulatory Organization of Canada)
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Contact Information
us****@****om
(386) 825-5501
Location
Toronto, Ontario, Canada, CA
Languages
  • English Native or bilingual proficiency
  • Cantonese Native or bilingual proficiency
  • Mandarin Full professional proficiency

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Experience

  • IIROC (Investment Industry Regulatory Organization of Canada)
    • Canada
    • Financial Services
    • 100 - 200 Employee
    • Manager, Business Conduct Compliance
      • May 2018 - Present

      - oversees compliance reviews, analyzes new business lines and membership applications- key contributor in special projects and system conversions

    • Senior Examiner, Business Conduct Compliance
      • Jan 2016 - May 2018

    • Examiner, Business Conduct Compliance
      • Jul 2014 - Dec 2015

    • Senior Examiner, Financial & Operations Compliance
      • Jan 2007 - Jul 2014

  • TD
    • Canada
    • Banking
    • 700 & Above Employee
    • Manager, Underwriting & Regulatory Reporting, TD Securities Inc.
      • Mar 2004 - Jan 2007

      - managed internal and external reporting requirements- implemented process improvement projects, with Six Sigma focus- analyzed capital usage trends and ensured adequate regulatory capital position at all times - managed internal and external reporting requirements- implemented process improvement projects, with Six Sigma focus- analyzed capital usage trends and ensured adequate regulatory capital position at all times

  • IIROC (Investment Industry Regulatory Organization of Canada)
    • Canada
    • Financial Services
    • 100 - 200 Employee
    • Senior Examiner, Financial & Operations Compliance
      • Feb 2003 - Mar 2004

    • Examiner, Financial & Operations Compliance
      • Apr 2001 - Jan 2003

  • PwC
    • Professional Services
    • 700 & Above Employee
    • Experienced Senior Associate, Technology InfoComm Entertainment & Media Services Group
      • Sep 2000 - Mar 2001

  • Deloitte
    • Business Consulting and Services
    • 700 & Above Employee
    • Senior Staff Accountant, Financial Institutions Group
      • Sep 1999 - Sep 2000

  • Deloitte
    • Business Consulting and Services
    • 700 & Above Employee
    • Staff Accountant, Financial Institutions Group (Co-Op)
      • Jan 1996 - Aug 1998

Education

  • University of Waterloo
    Master of Accounting (MAcc), B.A., Accounting
    1994 - 1999
  • Diocesan Girls' School
    -

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