Jennifer Davidson

Team Lead - Trading Conduct Compliance at IIROC (Investment Industry Regulatory Organization of Canada)
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Contact Information
us****@****om
(386) 825-5501
Location
CA
Languages
  • English Native or bilingual proficiency
  • French Elementary proficiency
  • Japanese Elementary proficiency
Skills

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Bio

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Credentials

  • CAMS
    ACAMS
    Apr, 2015
    - Oct, 2024
  • Branch Managers Course
    Canadian Securities Institute (CSI)
    Oct, 2014
    - Oct, 2024
  • Terrorism and Counterterrorism: Comparing Theory and Practice
    Coursera
    Oct, 2014
    - Oct, 2024
  • Anti Money Laundering & Terrorist Financing for Securities Professionals
    Canadian Securities Institute (CSI)
    Jul, 2014
    - Oct, 2024
  • Risk and Opportunity: Managing Risk for Development
    Coursera
    Jul, 2014
    - Oct, 2024
  • Chief Compliance Officer Qualifying Exam
    Canadian Securities Institute (CSI)
    Dec, 2013
    - Oct, 2024
  • Derivatives Fundamentals and Options Licensing Course
    Canadian Securities Institute (CSI)
    Feb, 2013
    - Oct, 2024
  • Conduct and Practices HandBook
    Canadian Securities Institute (CSI)
    Aug, 2012
    - Oct, 2024
  • Canadian Securities Course
    Canadian Securities Institute (CSI)
    May, 2012
    - Oct, 2024

Experience

  • IIROC (Investment Industry Regulatory Organization of Canada)
    • Canada
    • Financial Services
    • 100 - 200 Employee
    • Team Lead - Trading Conduct Compliance
      • Nov 2021 - Present

      -Provide leadership to a team of Trading Conduct Compliance Examiners, during exams of Dealer Members, where the team reviews their supervision policies and procedures to determine compliance with securities industry rules and regulations

    • Trading Conduct Compliance Examiner
      • Feb 2018 - Nov 2021

      -Conduct reviews of Dealer Member processes, procedures and supervision for their compliance with trading related requirements as defined by SRO rules and other securities regulation. Reviews include equity, OTC and fixed income products.

    • Investigative Trading Analyst
      • May 2015 - Feb 2018

      -Conduct post-trade reviews and preliminary investigations into alleged UMIR or Canadian Securities law violations in a timely manner, compiling relevant evidence from various sources and conducting trading analysis.-Prepare clearly written and concise preliminary investigation reports which incorporate all relevant information and documentation to support conclusions.-Develop and maintain cooperative relationships with other regulatory and investigative departments.

  • TD
    • Canada
    • Banking
    • 700 & Above Employee
    • Trade Surveillance Analyst - Direct Investing
      • Jun 2014 - Apr 2015

      Conduct surveillance on the activity of TD Direct Investing clients to ensure it adheres to the compliance standards within AML, IIROC, federal and provincial regulations. Duties include:- Ensure trading and account activities are within regulation by reviewing client and employee trades, accounts and monthly statements.- Review and approve new high risk client accounts.- Review and approve client material changes within IIROC KYC requirements. - Review trades placed through Investor Service Centers with Investment Representatives.- Report unusual trading or account activity and assist with investigations into regulatory matters. Show less

    • Investment Representative - Direct Investing
      • Nov 2012 - Jun 2014

      Executed client trading instructions on investment products, and provided information and advice on market activity, products and services, and client accounts.

    • Financial Services Representative
      • Dec 2010 - Nov 2012

      Provided banking solutions for new and existing clients of the bank for all of their personal and business banking, credit and investing needs.

  • Gaba Corporation
    • Japan
    • Education Administration Programs
    • 300 - 400 Employee
    • Instructor Support Leader
      • Oct 2008 - Oct 2009

      Managed a branch of 20 instructors including coaching, training, scheduling, maintaining foreign visa requirements of teachers and strategizing to meet monthly sales, efficiency and customer satisfaction numbers.

    • English Instructor + First Meeting Agent
      • Oct 2007 - Oct 2008

      Taught English to a wide variety of clients with tailored lessons based on individual needs, and met with prospective clients to conduct a language assessment and demonstration lesson.

Education

  • Western University
    Honours Bachelor of Arts (B.A.), Mass Communication/Media Studies
    2003 - 2007

Community

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