Experience

Canoe Financial

• Canada
• Investment Management
• 1 - 100 Employee

• SVP General Counsel & Chief Compliance Officer

  • Apr 2014 - Present

  Toronto & Calgary Member of the executive team and partner, responsible for defining and executing Canoe’s legal and compliance strategy. Founded in 2008, Canoe Financial is an employee-owned investment management firm focused on building financial wealth for Canadians. Canoe is Canada’s fastest-growing independent mutual fund company and currently manages approximately $4 billion in assets across a diversified range of award-winning mutual funds,closed-end funds, flow-through limited partnerships and… Show more Member of the executive team and partner, responsible for defining and executing Canoe’s legal and compliance strategy. Founded in 2008, Canoe Financial is an employee-owned investment management firm focused on building financial wealth for Canadians. Canoe is Canada’s fastest-growing independent mutual fund company and currently manages approximately $4 billion in assets across a diversified range of award-winning mutual funds,closed-end funds, flow-through limited partnerships and private energy equity products. To learn more about Canoe Financial and its investment products, visit www.canoefinancial.com Show less



BMO Private Client Group

• Chief Compliance Officer

  • Oct 2011 - Oct 2013

  Toronto, Canada Area - responsible for the strategic design and leadership of the compliance programs for BMO’s full service dealer, online broker, asset management, mutual fund dealer, investment funds, exchange traded funds, insurance, and private banking lines of business

• Head of Compliance / Chief Compliance Officer/ Chief AML Officer

  • Oct 2006 - Oct 2011

  Toronto, Canada Area Chief Compliance Officer and Chief AML Officer for BMO Private Client Group’s Asset Management,Exempt Market Dealer, Mutual Fund and Private Banking Lines of business - Designing and implementing a compliance programs for all of BMO’s portfolio management and mutual fund companies including BMO Asset Management, BMO Harris Investment Management Inc.; HIM Monegy (high yield debt); BMO Capital Markets - Closed End Funds; Lloyd George Mgt (Hong Kong) and Pyrford Asset Mgt (UK & Europe). -… Show more Chief Compliance Officer and Chief AML Officer for BMO Private Client Group’s Asset Management,Exempt Market Dealer, Mutual Fund and Private Banking Lines of business - Designing and implementing a compliance programs for all of BMO’s portfolio management and mutual fund companies including BMO Asset Management, BMO Harris Investment Management Inc.; HIM Monegy (high yield debt); BMO Capital Markets - Closed End Funds; Lloyd George Mgt (Hong Kong) and Pyrford Asset Mgt (UK & Europe). - specific responsibilities include all registration matters, privacy, anti-money laundering; personal trading policies, proxy voting, trade surveillance, account opening documentation, marketing and new product approvals, market conduct/sales practices etc.

• Chief Compliance Officer

  • Mar 1999 - Oct 2006

  Toronto, Canada Area Providing general legal and regulatory advice to Bank of Montreal's largest mutual fund manager and dealer - monitoring and analyzing changes to current laws, regulations and industry best practices and designing compliance and operational systems to address these changes - designing and implementing a comprehensive regulatory compliance program for the mutual fund line of business including the creation of a comprehensive compliance manual and the hiring and training of a team of 7 head… Show more Providing general legal and regulatory advice to Bank of Montreal's largest mutual fund manager and dealer - monitoring and analyzing changes to current laws, regulations and industry best practices and designing compliance and operational systems to address these changes - designing and implementing a comprehensive regulatory compliance program for the mutual fund line of business including the creation of a comprehensive compliance manual and the hiring and training of a team of 7 head office legal and compliance professionals, 5 Divisional Compliance Officers and 1000 Branch Compliance Officers



TD Bank Group

• Canada
• Investment Management
• 1 - 100 Employee

• Securities Lawyer, VP Compliance;

  • Jan 1995 - Mar 1999

  Toronto generally assisting TD’s full service broker; online broker and national insurance broker, with legal and compliance matters relating to the retailing of financial services and products



Fraser Milner Casgrain LLP

• Canada
• Law Practice
• 100 - 200 Employee

• Financial Services Lawyer

  • 1991 - 1995

  Toronto, Canada Area - practice included reviewing and drafting of commitment letters and providing advice on the structure of proposed transactions, negotiating and settling loan and security documentation, advising financial institutions on priority issues and regulatory matters and assisting financial institutions and corporations with reorganization, restructurings, realizations, bankruptcies and receiverships.



Clarkson Gordon (now Ernst & Young)

• Staff Accountant

  • Jan 1988 - Sep 1988

  participated in an intensive audit training course which prepared me for my active involvement in several audit teams assisted clients in the preparation of business plans