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Dynamic delivery-focused leader with more than 16 years of experience in regulatory compliance with a successful record in compliance framework development and enhancement, monitoring & testing, human resources and team development. Articulate communicator skilled in delivering well-planned messaging and strengthening relationships with business partners, peers, and senior leadership.
Framework Enhancement - Act as the key GAMLU liaison for assisting with the implementation of the Enterprise Wide AML/ATF Transformation Project across Wealth Management business units
Evidence of Supervision Provide oversight and coordination of the Wealth Management AML Teams (1A & 1B functions)
Process Development - Collaborate with the Wealth 1B Function to establish first line AML/ATF business controls
Issue Identification - Assist the Wealth Management business units in the completion of the Annual Self-Assessments ensuring AML risks are properly assessed
Regulatory Exam Preparation - Participate in the OSFI/FINTRAC Exam working group
Monitoring - Review the schedule, sample size and results of the 1B Quality Assurance processes to identify potential weaknesses/trends
Control Development - Responsible for the review and approval of Auto High Risk customers ensuring the 1A & 1B establish key controls to support the Customer Operating Handbook and the Enterprise-wide AML/ATF & Sanctions Handbook.
Executive Level Planning: Produced annual Compliance Operational Plan and annual financial budget.
Framework Enhancement: Developed Compliance Procedure manual and several new processes, including the implementation of a monitoring & testing plan.
Business Planning: Collaborated with the Senior Management Group in order to support the achievement of priorities and KPIs.
Team Development: Lead team of 7 in human resources, inspections and compliance framework development through active coaching in job performance, and mentoring to achieve individual potential. Assumed CCO's responsibilities due to the sudden vacancy in the role.
Compliance Committee Chair: Coordinated and Chaired Compliance Executive Committee, lead on identifying issues of non-compliance and provided input into enforcement cases. Met regularly with Leadership to discuss enterprise wide compliance concerns.
Investigations: Determined which investigations to conduct, met with regulated entities to discuss investigation findings and oversaw enforcement and sanctions. Investigate escalated complaints.
Quality Assurance Testing: Developed a risk based quality assurance testing program to review interactions & complaint reporting between contact centre representatives, regulated entities and compliance investigations.
Leadership: Managed and executed the new AIG Global Compliance
Board of Directors: Managed the preparation of quarterly reports and presented to the Board of Directors
Change Management: Led as project leader for the efficiency and effectiveness programs in order to improve business partnership and Compliance delivery to the business as a whole.
Reporting: Created and presented quarterly Compliance reports to the Board and Risk Committee. Compiled and filed: Suspicious Activity Monitoring reports, monthly internal compliance reports, and monthly OSFI AML reporting.
Business Continuity: Operational Risk Management Coordinator for Legal & Compliance.Monitoring & Testing - Implemented the global monitoring & testing program for Canada.
Investigations: Investigated complaints escalated to Compliance.
Led high profile audits within Wealth Management including: AML, Compliance, Corporate Governance for Scotia Asset Management, and Private Client Group Centres to determine compliance with portfolio management investment, National Instruments and internal company policies. Acted as liaison between business and Audit department.
Audit Planning & Execution: Developed and improved compliance test plans for the organization aligned with operational analysis and department goals. Reviewed work papers for accuracy & completion, performed ad-hoc assignments from the Audit Professional practices team. Followed up for outstanding issue resolution.
Change Management: Generated strategic planning for change management initiatives to improve compliance audit execution and internal service delivery.
Leadership: Accomplished staff results by communicating job expectations; planning, monitoring, and appraising job results; coaching, counseling, and disciplining employees; developing, coordinating, and enforcing systems, policies, procedures, and productivity standards. Developed Co-op students and acted as guest panel speaker to the University of Waterloo's class of 2013 2nd year Co-op students.
Operational Efficiency: Conducted research and analyzed applicable legislative and regulatory requirements, and updated the monitoring and testing plan accordingly to reflect regulatory changes. Integrated the work activities of previously executed compliance audits, new business, and regulatory requirement to support audit execution metrics.
Compliance Oversight: Assisted in identifying, monitoring and assessing regulatory and industry developments relating to investment funds, regulatory compliance management and internal policies through the review of publications, relevant websites, participating in industry associations, contacting Regulators and liaising with counsel and auditors, as required.
Change Management: Participated in internal working groups and executed project plans to handle regulations change, and best practices to meet regulatory obligations. Initiated project and action plans impacting the mutual fund department.
Risk Assessment: Assessed inherent risks and conflicts of interest, managed compliance efforts as they related to complex regulatory and policy requirement, programs and project developments. Informed and advised Chief Compliance Officer and business management on the impact, risks and opportunities of applicable laws, regulations, guidelines, industry best practices and corporate policies.
Policies & Procedures: Developed and implemented new policies and procedures.
Communications Review: Responsible for the management of the sales communications approval process and ensured mutual fund compliance with National Instruments and internal policies.
Compliance Framework Development - Executed enterprise wide compliance audits for Fortune 500 companies in Financial Services markets and developed regulatory compliance framework to support Audit findings and ensured OFSI E-13 Compliance and Privacy.
Training - Created specialized compliance training programs for Executive Management.
Compliance Oversight - Led the Compliance program for Manulife Mutual Fund Operations department and provided compliance support to the front, middle and back-offices. Consulted with Sales, Legal, Operations, Marketing and Compliance peers on OSFI E-13, Anti-Money Laundering, Privacy, Records Management, Vendor Management and various internal policies.
Policy & Procedures - Developed and managed policies/practices to ensure compliance with provincial insurance laws, federal regulations, corporate policies and contractual agreements.
Risk Assessment - Assessed and provided guidance on risks associated with industry requirements, new contractual agreements and new/changing laws and regulations.
Business Continuity Planning - Acted as coordinator and developed the plan for the mutual fund department reporting.
Ad-Hoc Projects - Coordinator for Employee Loan Program to support new mutual fund launches
Training - Developed and Conducted Compliance Training
Examinations - Acted as coordinator for internal/external audits & examinations (OSC sweep, Privacy, AML)
Compliance Oversight - Implemented new Compliance program for U.S. Group PensionsMarketing & Communications Review - Submitted all marketing material to FINRA/ NASD for approval prior to dissemination to the public in U.S. markets.
Institution of Internal Auditors - Toronto Chapter
Enrolled in Certified Internal Audit program; anticipate earning designation in 2018 Certified
Association of Anti-Money Laundering Specialists (ACAMS) Certified Anti-Money Laundering Specialist (CAMS)
Canadian Securities Institute, Toronto Chief Compliance Officer
FINRA/NASD Series 6 & Series 26 | Investment Company Products / Variable Contracts & Limited Principal | Series 51 | Municipal Fund Securities Limited Principal | Series 63 The Uniform Securities Agent State Investment Funds Institute of Canada (IFIC), Toronto Completed Operations | Canadian Investment Funds | Branch Managers & Officers | Partners & Directors
Member in Good Standing With:
Institution of Internal Auditors - Toronto Chapter 2017 - present
Association of Anti-Money Laundering Specialists 2015 - present