Mak Sangha, MBA, CFA

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.