With over a decade of profound experience in Regulatory Compliance within the Canadian financial landscape and internationally, I've crafted a niche in mastering Canadian regulations. My expertise encompasses rules and regulations set by authorities like FINTRAC, IIROC, OSC, and OSFI. Core ...more

With over a decade of profound experience in Regulatory Compliance within the Canadian financial landscape and internationally, I've crafted a niche in mastering Canadian regulations. My expertise encompasses rules and regulations set by authorities like FINTRAC, IIROC, OSC, and OSFI. Core Competencies • Strategic Compliance Planning: Proven capability in crafting and implementing tactical-level compliance blueprints. • Comprehensive Monitoring: Demonstrated success in the creation and execution of meticulous • Compliance Monitoring Programs across various lines of business, including Wealth Management, Private Banking, Advisory Channels, Middle Office, Trading, and Treasury. • Regulatory Advisory & Training: Proficient in guiding Wealth Management teams on pivotal regulatory compliance topics like AML KYC and ensuring data privacy and security. • Collaborative Approach: Renowned for forging seamless collaborations with cross-functional teams, thus ensuring unified compliance tactics and risk containment. Professional Highlights • A systematic approach to appraising compliance and regulatory hurdles, charting definitive mitigation/resolution strategies. • Recognized expertise in refining Compliance Frameworks, ensuring operational transitions resonate with regulatory stipulations. • Extensive acumen in Wealth Management products, encompassing Mutual Funds, Structured Products, FX, Equities, and more. • Acclaimed supervisory prowess in Assurance and monitoring, combined with adeptness in Control Risk Self-assessment techniques for operational risk mitigation. • Strong analytical capabilities that drive results. • Driven by a genuine passion for assisting financial institutions navigate the intricate regulatory maze in Canada, I prioritize excellence in service and support for my clients. Areas of professional expertise include: - Compliance Examinations and Review - Monitoring and testing of control functions - Control Risk Self Assessment (CRSA) - Regulatory Compliance Management Systems - Anti-Money Laundering and Anti-Terrorist Financing - Regulatory Obligation Register - Compliance Monitoring Program (CMP) - MiFID II, EMIR, CFTC LTRS including ICE EU / ICE US, - Regulatory Compliance Management (RCM) E-13 - OSFI’s Guideline B-10 I have empowered organizations by imparting essential knowledge on AML, KYC, and data security, ensuring that regulatory compliance is not just an obligation but a cornerstone of their operational excellence. Considering a compliance ally proficient in deciphering the Canadian regulatory landscape? Reach outless