ABOUT ME

As a result-oriented professional, I have 26 year work experience in the Canadian financial services sector in different roles including 20 years in Compliance. I offer superb working knowledge of securities legislation, enforcement processes and market operations including:

  • Assessing the impact of regulatory developments that could impact the business, and where required, taking initiatives such as designing, building and implementing internal procedures and policies effectively

  • Assessing the sufficiency of controls for current regulatory requirements for business, and where appropriate, recommend, build and support enhanced control mechanisms

  • Conducting issue-oriented and comprehensive compliance reviews and reporting, orally and in writing, to other compliance staff and making practical recommendations to senior business leadership

  • Providing effective compliance oversight by conducting Tier 2 supervision

  • Identifying opportunities to implement compliance related policies and procedures

  • Reviewing new investment products, related offering documents and advertising concepts and materials, and making approval/rejection recommendations

  • Supporting the analysis of risk assessments for business, and preparing monthly summary reports

  • Maintaining risk ranking system and identifying areas in which regulatory or reputational risks may occur

  • Tracking identified regulatory issues

  • Working both individually and as a team as required in fast-faced high-pressure environments

  • Providing expertise as and when required

  • Building strong working relationships with other team members at all levels of the firm. Communicating persuasively with clients and team members verbally and in writing

  • Liaising with the regulators, internal and external business partners to address compliance, operations and finance related issues

  • Efficiently handling client complaints

  • Working on special projects, as assigned

  • Strong analytical skills

  • Attention to detail

  • Leadership by example

  • Open-minded approach

Privately, I conduct technical analysis of capital markets using naked charts and W.D. Gann advanced methodology incorporating geometry, mathematics and universal natural law. I also enjoy running a couple of successful small businesses.

I can be reached at the contact information listed in the header of this page.

CAREER EXPERIENCE

2019 - 2022

Chief Compliance Officer and Chief Operating Officer

GP Wealth Management Corporation, Toronto

2000 - 2019

Provincial Compliance Officer

CST Consultants Inc., Toronto

2006 - 2009

Senior Compliance Officer and Manager, Operations

GP Wealth Management Corporation, Toronto

2004 - 2006

Regional Compliance Officer, Western Canada

Performa Financial Group Limited, Vancouver

EDUCATION

1999

Chartered Financial Analyst

The CFA Institute

1996

Master of Business Administration (Finance)

Simon Fraser University

1993

Master of Engineering (Industrial)

Thapar University

1991

Bachelor of Engineering (Mechanical)

Thapar University

2003 - 2004

Compliance Officer and Team Manager

John Nicola Financial Group, Vancouver