Unique professional experience in risk management and executive management
Technical –
Over 15 years of compliance and operational experience as:
- Compliance officer in IROC, MFDA, EMD, Portfolio Management, AML, Privacy and Insurance,
- Policies and Procedures development, implementation and support MFDA, AML, Portfolio Management,
- Reporting requirements to board of directors, shareholders and regulators,
- Compliance Change Management,
- Registrations and regulatory relationships,
- Operational experience in IROC, MFDA and insurance processes.
Over Ten Years in Risk Management:
- Design implement and support enterprise risk management programs,
- Corporate Secretary,
- Financial Reporting and auditing.
Twenty-five plus years of operational experience in the financial services industry, roles include:
- Software training, implementation and support
- Client services, advisor and branch support,
- Custodial services, settlements, shareholder services, registrations, audit,
- Operational change management.
Leadership –
Fifteen Plus Years of Management roles including:
- Organizational management as department supervisor, regional manager operations, systems and finance, compliance branch manager,
- Executive Management as Chief Compliance Officer, Chief Operations Officer, President, Board of Directors,
- Leadership responsibility for large teams, between head office and branch locations
Volunteer –
Multiple Positions as:
- Board of Director
- Board of Director committees
Qualifications –
Multiple industry certificates, courses and degrees:
- MA (leadership), BA (Economics, Political Science)
- CIM, PDO Course, CCO Course, PFP, CSC, Former FCSI,
- Insurance Qualifying Course,
- Specialist IRM, (Basil, Solvency), IRM Cert, Risk Management Certificate.