Compliance Manager

• Feb 2022 - Present

Manager, US Compliance

• Dec 2007 - Dec 2021

Acting as the supervisor of 60 retail sales representatives and managing the overall compliance program of the US retail firm. As the Manager, US Compliance for Canaccord I answer questions related specifically to the US based activities of clients and IA’s. This includes acting as the VP and Compliance Officer for Canaccord Genuity Wealth Management (USA) Inc., a FINRA registered entity, with responsibility for the firm’s overall compliance program including AML supervision, liaising with regulatory bodies during normal course examinations and day to day operation of the firm. I am also the principal contact for Pershing LLC, the US subsidiary’s clearing firm.

Credit Control Administrator

• Jul 2006 - Dec 2007

As Credit Control Administrator I was responsible for monitoring daily client account credit reports and follow up with IA’s to ensure settlement of trades within the required settlement time and taking further action as necessary. I also handled requests to move assets between client accounts and convert funds between currencies as required.

US Operations Administrator

• Jan 2002 - May 2006

While at Haywood I spent the large majority of my employment working on the operations of the firm’s US subsidiary, Haywood Securities (USA) Inc., and as such I was exposed to a wide array of operations and compliance issues that arise in US Broker-Dealers. I was also the main contact for Haywood USA’s clearing firms. While at Haywood I spent the large majority of my employment working on the operations of the firm’s US subsidiary, Haywood Securities (USA) Inc., and as such I was exposed to a wide array of operations and compliance issues that arise in US Broker-Dealers. I was also the main contact for Haywood USA’s clearing firms.

Accounting Clerk

• May 1998 - Jan 2002