IIROC (Investment Industry Regulatory Organization of Canada)
The Investment Industry Regulatory Organization of Canada is a non-profit, national self-regulatory organization. Abbreviation: IIROC/OCRCVM Headquarters: Toronto, Canada CEO: Andrew J. Kriegler VP: Doug Harris Founded: 2008 Chief information officer: Ian Campbell
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IIROC (Investment Industry Regulatory Organization of Canada) Employees
B2B Bank March 2015 - Present
Royal Bank of Canada October 2014 - March 2015
ScotiaMcLeod April 2009 - October 2014
IIROC (Investment Industry Regulatory Organization of Canada) 2005 - 2009
RBC Wealth Management 2003 - 2005
Toronto Catholic District School Board 2002 - 2003
CIBC Wealth Management 1998 - 2001
Skills
Windows, Microsoft Excel, Microsoft Word, Outlook, Customer Service, Securities, Team Management, Teaching, Training, Investments, Mutual Funds, Equities, Fixed Income, Auditing, Options, AML, Risk Management, Wealth Management, Bonds, Leadership, Portfolio Management, Management, Asset Management, Financial Planning, Anti Money Laundering, Financial Services, Finance
Education
Concordia University 1984 — 1987
Bachelor's degree, Economics
Dawson College 1981 — 1984
College Diploma, Pre-University courses
Rogers Communications September 2015 - Present
Rogers Communications July 2014 - August 2015
IIROC (Investment Industry Regulatory Organization of Canada) April 2014 - July 2014
CIBC July 2013 - April 2014
TD May 2013 - July 2013
TD June 2012 - May 2013
Capgemini September 2011 - May 2012
Special Reporter May 2009 - May 2012
CIBC March 2011 - July 2011
GSK October 2010 - March 2011
Skills
Corporate Communications, Content Management, Technical Writing, Microsoft Office, Adobe Creative Suite, PowerPoint, Adobe eLearning Suite, Modules, Project Management, Strategic Communications, Change Management, Creativity, Social Media, Public Relations, Program Management, Web Content, Leadership, SharePoint, Social Networking, Strategy, Training, Blogging, Content Development, Advertising, Market Research, Management, Digital Media, Team Leadership, SEO, Newsletters, Internal Communications, Online Advertising, Journalism, Editing, New Media, Marketing, Proofreading, Web Design, Editorial, Business Development, Event Management, Media Relations, Project Planning, Content Strategy
Education
Humber College 2007 — 2007
Diploma, 3ds Max Animation & Modelling
Indira Gandhi National Open University 2001 — 2002
Masters, Journalism & Mass Communication
Guru Nanak Dev University 1998 — 2001
Bachelors, Functional English, Psychology, Sociology
RBC July 2014 - Present
Scotiabank December 2013 - July 2014
Scotiabank September 2010 - January 2014
Scotiabank June 2006 - June 2011
IIROC (Investment Industry Regulatory Organization of Canada) March 2002 - June 2006
Skills
Web Development, Ethical Hacking, Penetration Testing, Malware Analysis, Reverse Engineering, Vulnerability Assessment, Network Security, Firewall Management, Intrusion Detection, System Administration, Network Administration, Security Operations, Storage Area Networks, Backtrack, EnCase, FTK, Metasploit, Incident Management, Incident Analysis, Memory Forensics, Assembly Language, Static Code Analysis, Computer Forensics, IPS, CEH, Firewalls, Information Security..., PKI, ISO 27001, Security, Information Security
Education
Ryerson University 2005 — 2006
CISSP, Information Security
University of Guelph 1996 — 1999
Secure Ninja
Mutual Fund Dealers Association of Canada (MFDA) July 2014 - Present
ISC2 CISSP Toronto Chapter January 2014 - Present
Mutual Fund Dealers Association of Canada February 2002 - June 2014
ISC2 CISSP Toronto Chapter January 2012 - December 2013
Quiettouch Inc. April 2000 - February 2002
IIROC (Investment Industry Regulatory Organization of Canada) January 1996 - April 2000
Skills
Network Security, Network Design, Network Architecture, ITIL, VPN, IT Operations, Microsoft SQL Server, Network Administration, Cisco Technologies, Business Analysis, Information Security..., VMware, Checkpoint, Blackberry Enterprise..., Incident Management, Security, CISSP, Information Security, Microsoft Exchange, Solution Architecture, CRM, Cloud Computing, Information Technology, Disaster Recovery, Networking
Education
University of Toronto 2014 — 2015
Certificate, Cloud Computing
McMaster University 1992 — 1995
BSc, Science
IIROC (Investment Industry Regulatory Organization of Canada) December 2014 - Present
IIROC (Investment Industry Regulatory Organization of Canada) September 2014 - Present
TMX Group May 2010 - August 2014
McLellan Trading November 2003 - April 2010
Dundee Wealth June 2001 - October 2003
Skills
Capital Markets, Equities, Financial Markets, Options, Trading, Derivatives, Trading Systems, Fixed Income, Bloomberg, Securities, Electronic Trading, Investments, Produits dérivés
Education
Canadian Securities Institute 2001 — 2001
CSC, Canadian Securities Course, Conduct and Practices Handbook, Trader Training Course
McGill University 1996 — 1999
Certificate, Management, Marketing
Champlain College 1990 — 1992
DEC Creative Arts
BMO Nesbitt Burns August 2011 - Present
IIROC (Investment Industry Regulatory Organization of Canada) June 2007 - August 2011
IIROC (Investment Industry Regulatory Organization of Canada) June 2004 - August 2007
IIROC (Investment Industry Regulatory Organization of Canada) June 1998 - March 2004
Certified General Accountants of Ontario 1996 - 1998
Pizza Hut September 1990 - 1996
Skills
AML, Securities, KYC, Capital Markets, Risk Management, Securities Regulation, Fraud, Corporate Governance, Investments, Equities, Financial Risk, Mutual Funds, Financial Markets, Wealth Management, Options, Asset Management, Derivatives, Banking, Portfolio Management, Financial Services, Hedge Funds, Trading, Due Diligence, Fixed Income, Operational Risk..., Anti Money Laundering
Education
Certified Management Accountants (CMA) 2010 — 2013
Canadian Securities Institute 1998 — 2010
CSC, CPH, TTC, OSC, BMC, COO and CCO Course
Association of Certified Fraud Examiners (CFE) 2008 — 2008
CFE, Fraud and related activities
Ryerson University 1990 — 1994
B. Comm, Accounting
NIS, Kuwait 1980 — 1989
Chartered Professional Accountants of Ontario
CPA
IIROC (Investment Industry Regulatory Organization of Canada) November 2014 - Present
Office of the Superintendent of Financial Institutions of Canada February 2013 - October 2014
CIBC November 2008 - August 2012
Moody's Corporation January 2007 - June 2008
Moody's Investors Service September 2000 - December 2006
Canada Trust March 1997 - May 2000
BMO Capital Markets August 1993 - March 1997
CIBC World Markets December 1990 - August 1993
Education
Richard Ivey School of Business 1988 — 1990
Master of Business Administration (MBA)
University of Toronto - University of Trinity College 1982 — 1986
Bachelor of Science (B.Sc.), Economics & Computer Science
IIROC (Investment Industry Regulatory Organization of Canada) April 2015 - Present
IIROC (Investment Industry Regulatory Organization of Canada) April 2012 - March 2015
IIROC (Investment Industry Regulatory Organization of Canada) January 2009 - April 2012
Skills
HRIS, Benefits Administration, Employee Relations, Talent Acquisition, Performance Management, Recruiting, Onboarding, New Hire Orientations, Applicant Tracking..., Employee Engagement, HR Policies, Human Resources, Customer Service, Management, HR Consulting
Education
Seneca College of Applied Arts and Technology 2009 — 2009
Recruitment
Ryerson University 1976 — 1978
Business Administration
Richardson GMP February 2014 - May 2015
Macquarie Group April 2013 - February 2014
TD August 2011 - July 2012
IIROC (Investment Industry Regulatory Organization of Canada) 2001 - 2011
IIROC (Investment Industry Regulatory Organization of Canada) 2009 - 2010
IIROC (Investment Industry Regulatory Organization of Canada) 2008 - 2009
Scotia Capital 2007 - 2008
Scotia Capital 2005 - 2007
Etrade 2000 - 2005
Skills
Trading, Options, Equities, Asset Management, Capital Markets, Financial Services, Fixed Income, Risk Management, Mutual Funds, Securities, Derivatives
Education
Canadore College
Assante Capital Management Ltd. 1992 - Present
IIROC (Investment Industry Regulatory Organization of Canada) 2000 - Present
Kidney Foundation of Canada 2005 - 2007
Junior Achievement of Canada 1995 - 2005
Skills
Financial Planning, Investments, Estate Planning, Insurance, Wealth Management, Wealth, Retirement Planning, Personal Finance, Retirement, Securities, Wealth Transfer, Small Business, Tax, Asset, Portfolio Management, Disability Insurance, Asset Management, Mutual Funds, Equities, Financial Advisory, Retirement Income..., Divorce Planning, Strategic Financial..., Investment Advisory, Financial Planners, Finance, Investment Strategies, Wealth Management..., Financial Services, Asset Allocation, High Net Worth..., Wealth Accumulation, Pensions, Holistic Financial..., Personal Financial..., Investment Management, Bonds, Income Protection, Alternative Investments, Retirement Savings, Fixed Annuities, Estate Tax Planning, Life Insurance, Savings, Mortgage Lending, Capital Markets, Segregated Funds, Long-term Care, Relationship Management, Term Life Insurance
Education
Saint Mary's University 1988 — 1990
Sodexo 2008 - Present
Microsoft 2004 - 2008
Microsoft 2002 - 2004
Hewlett-Packard 2001 - 2002
IIROC (Investment Industry Regulatory Organization of Canada) 1998 - 1999
EY 1996 - 1997
Adams & Miles LLP 1994 - 1996
Skills
Strategic Leadership, Project Management, Managerial Finance, Financial Accounting, Entrepreneurship, Financial Modeling, Business Analysis, Analysis, Leadership, Change Management
Education
The University of Chicago - Booth School of Business 1999 — 2001
International MBA, MBA
University of Toronto 1990 — 1994
Bachelor of Commerce (BCom), Accounting, Economics, Finance
IIROC (Investment Industry Regulatory Organization of Canada) April 2015 - Present
Skills
Microsoft Office, Microsoft Excel, PowerPoint, Microsoft Word, Customer Service, Windows, Budgets, Public Speaking, Teamwork, Event Planning, Event Management, Social Media, Team Leadership, Retail, Marketing Communications, Accounting, Market Research, Marketing, Marketing Strategy, Public Relations, Presentation Development, Mutual Funds, Securities, Financial Analysis, Investments, Business Development, Banking, Investment Strategies, Finance, Wealth Management
Education
Concordia University 2009 — 2011
Bachelor of Commerce (B.Com.), Finance, General
Vanier College 2007 — 2009
IIROC (Investment Industry Regulatory Organization of Canada) March 2011 - Present
TD Securities Inc 2009 - 2011
TD Wealth Management 2007 - 2009
TD Wealth Management 2003 - 2007
TD Waterhouse Capital Markets, Inc. 2001 - 2003
Skills
Securities, AML, Mutual Funds, Wealth Management, Capital Markets, Equities, Derivatives, KYC, Fixed Income, Options, Operational Risk, Financial Risk, Investments, Risk Management, Bloomberg, Electronic Trading, Trading Systems, Banking
Education
University of London 2002 — 2007
MSc, Environmental Economics
Carleton University 1990 — 1994
BA, Economics
IIROC (Investment Industry Regulatory Organization of Canada) February 2010 - Present
Raymond James Ltd. (and predecessor firms) December 1992 - May 2000
CIBC Wood Gundy 1986 - 1988
Skills
Corporate Finance, Securities, Securities Regulation, Risk Management, Mutual Funds, Coaching, Wealth Management, Policy, Banking, Team Leadership, Capital Markets, Project Management, Investments, Business Analysis, Asset Managment, Microsoft Office, Financial Analysis, Portfolio Management
Education
The University of Calgary
OMERS 2015 - Present
BMO Financial Group 2011 - 2015
IIROC (Investment Industry Regulatory Organization of Canada) 2008 - 2011
Bennett Jones LLP 2006 - 2007
Ogilvy Renault 2003 - 2005
Skills
Securities Regulation, Corporate Governance, Corporate Law, Legal Research, Securities, Due Diligence, Capital Markets, AML, Legal Writing, Privacy Law, Mergers & Acquisitions
Education
University of Toronto 2001 — 2004
Juris Doctor, Law
University of Alberta 1996 — 2000
Bachelor of Commerce with Distinction, Finance
MNP January 2012 - Present
Williams McGuire AML Inc. August 2010 - January 2012
IIROC (Investment Industry Regulatory Organization of Canada) 2010 - 2010
Education
University of Toronto 2013 — 2015
Certificate
Association of Certified Anti-Money Laundering Specialists 2011 — 2011
CAMS
Canadian Securities Institution of Canada 2009 — 2010
CSC
Seneca College of Applied Arts and Technology 2009 — 2010
Graduate Certificate
University of Guelph-Humber 2004 — 2008
BBA
BMO wealth management services - Canada March 2014 - March 2015
Equity Financial Trust Company March 2013 - March 2014
Bank of Montreal August 2011 - January 2013
ictQATAR November 2006 - July 2011
RBC Investments January 2005 - October 2006
Nestlé S.A. April 2003 - January 2005
IIROC (Investment Industry Regulatory Organization of Canada) December 2002 - April 2003
Accenture January 2000 - December 2002
BMO Nesbitt Burns 1996 - 2000
Ritsec 1991 - 1996
Skills
Microsoft Office, Business Analysis, Microsoft Excel, Change Management, Project Management, Program Management, Strategic Planning, Management Consulting, Business Strategy, Marketing Strategy, Vendor Management, Strategy, Cross-functional Team..., Management, Project Planning, Leadership, PMP, Negotiation, PMO, Project Delivery, Agile Methodologies, Budgets, Integration, Risk Management, Marketing, Process Improvement, Stakeholder Management, Telecommunications, CRM, ERP, Entrepreneurship, Business Planning, Competitive Analysis, Team Leadership, Business Development, Training
Education
Maastricht School of Management 1995 — 1996
MBA, Information Technology / International Business
Cairo University 1986 — 1991
B.Sc., Engineering
Desjardins May 2014 - Present
ACAMS Montreal Chapter September 2013 - Present
IIROC (Investment Industry Regulatory Organization of Canada) November 2008 - May 2014
Laurentian Bank Securities October 2004 - November 2008
Brokerage firms January 2001 - October 2004
Skills
Compliance, Equities, Investments, Portfolio Management, Asset Management, Options, Derivatives, Risk Management, Securities, Mutual Funds, Fraud, AML
Education
Université de Sherbrooke 2013 — 2016
Maîtrise en administration - concentration en lutte contre la criminalité financière
Financial Industry Regulatory Authority (FINRA) August 2015 - Present
National Student Clearinghouse February 2010 - August 2015
Capital One (US Card - Capstone) May 2009 - January 2010
Capital One (Enterprise Customer Management/ Platform Management Team) January 2008 - April 2009
Capital One (Enterprise Customer Management) November 2006 - January 2008
Capital One (Invention Factory/Production Innovation Center) March 2004 - November 2006
IIROC (Investment Industry Regulatory Organization of Canada) September 2000 - February 2004
MCAP March 1999 - July 2000
CIBC May 1998 - March 1999
Skills
Agile Methodologies, Business Analysis, Software Development, Scrum, Project Management, Business Process, Program Management, SDLC, Databases, SQL, Process Improvement, Systems Analysis, Management, Risk Management, Change Management, Testing, Agile Project Management, Software Project..., Enterprise Software, Java, Unix, XML, Weblogic, MS Project, Financial Services, Performance Management, Business Intelligence, Requirements Analysis, ASP, Oracle Applications, Mobile Applications, PMP, Informix, Sentry, Portfolio Management, Version One, Performance Testing, Off-shore Project..., Federal Government, IT Audit, Platform Management, Rally, Microsoft Project, Mercator, Email Strategy, EDI - Electronic Data..., EDI - Electronic Data..., Oracle Application..., Amazon Web Services...
Education
Dalhousie University
MBA, Management/International Business
Dalhousie University
Honours BA, Anthropology/Sociology
CSM 2011 — 2017
Certified ScrumMaster
Oracle 2012 — 2012
Oracle ADF & Fusion Middleware Development
IT University 2013 — 2013
CCNA and CCNP, Cisco Certification IT Network
Capital One University 2004 — 2009
Neighbourhood Greetings February 2008 - Present
IIROC (Investment Industry Regulatory Organization of Canada) July 2013 - March 2014
Canadian Securities Transition Office June 2011 - July 2013
RE/MAX Realtron Realty Inc. Toronto 2002 - 2007
Skills
Social Media, Blogging, Social Media Marketing, Strategic Communications, Photoshop, Advertising, Event Planning, Publicity, InDesign, Customer Service, Presentation Design, Microsoft Office, Events Coordination, Negotiation, International Travel
Education
Le Cordon Bleu Ottawa 2014 — 2014
Certificate, Culinary Arts/Chef Training
York University
Political Science
Catholic School Advisory Council (St. Marcellus Catholic School) September 2013 - Present
OnWord Editing October 2011 - Present
UniPID 2009 - May 2014
United Nations Association of Finland June 2008 - July 2008
IIROC (Investment Industry Regulatory Organization of Canada) 2006 - 2007
Toronto Parks and Recreation 2004 - 2006
Leaside Health Centre 1998 - 2006
Skills
Research, English, Teaching, Qualitative Research, Project Management, Statistics, Policy, Program Evaluation, Proposal Writing, Data Analysis, International..., International Relations, Program Management, MailChimp, WordPress, Social Responsibility, Event Planning, Grant Writing, Raising Kids, Copywriting, Copy Editing, Editing, Proofreading, Policy Development, Immigration Issues, Diversity & Inclusion, Cultural Diversity, Government Relations, Relationship Building, Social Inclusion, French
Education
Jyväskylän yliopisto 2007 — 2010
Master of Social Science, Development Economics and International Development, Political Science
York University 2002 — 2007
Bachelor of Arts (B.A.) Hons., Political Science, specializing in Public Policy and Administration
Queensbury Securities Inc. September 2013 - Present
RBC Dominion Securities December 2011 - August 2013
IIROC (Investment Industry Regulatory Organization of Canada) May 2008 - December 2011
IIROC (Investment Industry Regulatory Organization of Canada) January 2006 - May 2008
BMO Nesbitt Burns March 2001 - January 2006
Skills
Investments, Options, Mutual Funds, Securities Regulation, Trading, Risk Management, Securities, Equities, Equity Trading, Capital Markets, Wealth Management
Education
Ryerson University 1992 — 1996
Business Management
Canadian Securities Institute
IAMGOLD Corporation November 2008 - Present
IIROC (Investment Industry Regulatory Organization of Canada) February 2008 - October 2008
Merrill Lynch Canada February 2004 - February 2008
Skills
Employment Law, Policy, Corporate Law, Corporate Governance, Securities, Due Diligence, Mergers & Acquisitions, Litigation, Legal Assistance, Risk Assessment, Risk Management, Legal Research, Acquisitions
Education
Humber College 1996 — 1998
Legal Assistant
St. Mary's Catholic Secondary School 1992 — 1996
Institute of Law Clerks
Law Clerk
IIROC (Investment Industry Regulatory Organization of Canada) February 2015 - Present
Investment Industry Regulatory Organization of Canada (IIROC) July 2012 - February 2015
RBC June 2009 - July 2012
Diversified Business Communications - Canada April 2007 - June 2009
Bank of Montreal 1999 - 2006
BMO InvestorLine 1997 - 1999
Bank of Montreal - Global Treasury 1996 - 1997
Bank of Montreal – Investment Banking Group - Global Treasury 1992 - 1996
BMO InvestorLine 1991 - 1992
TD GreenLine 1990 - 1991
Skills
Sales Management, Business Strategy, Trading, Retirement Planning, Investments, Financial Planning, Investment Strategies, Estate Planning, Financial Markets, Portfolio Management, Insurance, Wealth Management, Strategic Financial..., Banking, Equities, Finance, Financial Services, Fixed Income, Investment Advisory, Mutual Funds, Retirement, Wealth
Education
McGill University
MBA, MBA
Concordia University
BA, Economics
Macquarie Group February 2012 - Present
Montreal Exchange March 2010 - Present
Investment Industry Association of Canada March 2012 - October 2013
MF Global (Canada) February 2006 - November 2011
IIROC (Investment Industry Regulatory Organization of Canada) March 2010 - May 2011
Fimat February 2001 - February 2006
RBC Dominion Securities January 1998 - February 2001
Levesque Beaubien 1994 - 1996
Skills
Sales Management, Operations, risk and credit, Trading Systems, Listed derivatives, OTC Derivatives, Compliance, FX Hedging, Commodity, Electronic Trading, Capital Markets, Financial Risk, Investments, Derivatives, Management, Trading, Equity Trading, Risk Management, Equities, Options, Financial Markets, Series 7, Fixed Income, Structured Products, Equity Derivatives, Finance, Asset Managment, Portfolio Management, Alternative Investments, Corporate Finance, Negotiation, Securities, FX Options, Strategic Planning, Technical Analysis, Mutual Funds, Currency, Hedge Funds, Hedging, Financial Services, Brokerage, Investment Banking, Bloomberg
Education
Université de Montréal - Ecole polytechnique de Montréal 2000 — 2001
HEC Montréal 1997 — 1999
MBA, Management
IIROC (Investment Industry Regulatory Organization of Canada) February 2014 - Present
Investment Industry Regulatory Organization of Canada June 2008 - February 2014
Osgoode Professional Development January 2010 - January 2011
Market Regulation Services January 2005 - June 2008
University of Toronto July 2002 - December 2004
Wise Persons Committee January 2003 - December 2003
Torys January 1994 - August 2000
Supreme Court of Canada September 1992 - August 1993
Skills
Securities Regulation, Corporate Law, Securities, Corporate Finance, Corporate Governance, Strategy, Capital Markets, Trading, Investments, Legal Research, Board Governance, Not for Profit, Non-profit Board..., Information Security..., Code of Conduct, Mergers & Acquisitions, Private Equity, Due Diligence, Venture Capital
Education
Harvard Law School 2001 — 2006
S.J.D., Law
Harvard Law School 2000 — 2001
LL.M., Law
University of Toronto 1989 — 1992
LL.B., Law
University of Toronto 1987 — 1988
MA, English
University of Toronto - Victoria University 1983 — 1987
BA, English
Etobicoke Collegiate 1978 — 1983
OSSHGD
Lambton Kingsway 1970 — 1982
IIROC (Investment Industry Regulatory Organization of Canada) April 2011 - Present
IIROC August 2007 - Present
E*TRADE Canada Securities Corporation December 2003 - August 2007
MMI Group December 2001 - December 2003
Desjardins Securities Inc April 2000 - November 2001
Skills
Compliance, Computer Literate, Investments, Trading, Derivatives, Options, Securities, Capital Markets, Equity Trading, Mutual Funds, Securities Regulation, Equities, Hedge Funds, Financial Markets, AML
Education
Université du Québec à Montréal 1983 — 1987
Bachelor, Finance
The Canadian Depository for Securities Limited (CDS) November 2014 - Present
IIROC (Investment Industry Regulatory Organization of Canada) September 2013 - Present
PI Financial Corp. September 1995 - Present
EY September 1987 - September 1995
Skills
Asset Management, Equities, Financial Analysis, Financial Modeling, Investments, Portfolio Management, Risk Management
Education
Chartered Accountant 1988 — 1991
Chartered Accountant / CPA
The University of British Columbia 1983 — 1988
Bachelor of Commerce (B.Com.), Accounting, Honours
IIROC (Investment Industry Regulatory Organization of Canada) March 2013 - Present
AGF Investments Inc. December 2006 - February 2013
Toronto District School Board July 2006 - November 2006
Enterprise Ireland March 2005 - March 2006
Capital One Canada October 2002 - February 2005
The Alcohol and Gaming Commission of Ontario 2000 - 2000
CNIB - Canadian National Institute for the Blind 1997 - 2000
Skills
Communications Planning, Crisis Communications, Marketing Communications, Public Relations, Corporate Communications, Internal Communications, Press Releases, Media Relations, Proofreading, Editing, Strategic Communications
Education
Humber College
Postgraduate Certificate, Public Relations, With Honours
Ryerson University
Bachelor's Degree, Business Management - Marketing and Communications
IIROC (Investment Industry Regulatory Organization of Canada) July 2015 - Present
Centennial College May 2015 - Present
MFDA March 2014 - April 2015
Ombudsman for Banking Services and Investments December 2013 - March 2014
Mutual Fund Dealers Association June 2012 - May 2013
IIROC July 2010 - 2011
Skills
Litigation, Securities Regulation, Securities, Legal Research, Administrative Law, Dispute Resolution, Mediation, Alternative Dispute..., Legal Advice, Corporate Governance, Legal Writing, Civil Litigation, Fraud
Education
University of Leicester
LL.B
407 ETR April 2015 - Present
TD March 2013 - March 2015
IIROC (Investment Industry Regulatory Organization of Canada) January 2012 - December 2012
Scotiabank January 2011 - January 2012
LCBO January 2010 - January 2011
IBM November 2007 - December 2009
Aditya Birla Minacs February 2005 - November 2007
Minacs December 1999 - February 2005
Skills
Business Analysis, Workforce Management, CRM, ITIL, ACD, Project Management, PMP, SDLC, Solution Architecture, Software Development, Change Management, Call Centers, Project Delivery, Telecommunications, Management, Enterprise Software, Analysis, Vendor Management, VoIP
Education
1988 — 1993
M.Sc. Engineering, Computers and Automation
High School
RBC November 2014 - Present
Scotiabank Global Banking and Markets September 2011 - September 2014
Manulife Securities April 2005 - September 2011
IIROC (Investment Industry Regulatory Organization of Canada) 2004 - 2005
Toronto Research and Trading. 2001 - 2004
Raymond James Ltd. 2000 - 2001
Thomson Kernagan 1997 - 2000
TMX Group 1996 - 1997
Skills
Trading, Securities, Equity Trading, Institutional, Compliance, Equities, Capital Markets, Options, Investments, Investment Management, Hedge Funds, Bonds, Mutual Funds, Wealth Management, Asset Management, Bloomberg, Risk Management, Fixed Income, Portfolio Management, Asset Allocation, Financial Risk, Proprietary Trading, Financial Services, Electronic Trading, ETFs, Strategic Financial..., Investment Strategies, Financial Markets, AML, Trading Systems, Derivatives, FX Options, FINRA, Investment Banking, Alternative Investments, Financial Advisory, Wealth Management..., Equity Derivatives, Anti Money Laundering, Financial Planning
Education
The University of Western Ontario 1993 — 1996
BA, Economics
Humber College 1990 — 1993
Business Administration Diploma, Economics
Dundee Capital Markets April 2014 - Present
Scotiabank October 2011 - March 2014
RBC March 2011 - October 2011
DundeeWealth September 2008 - March 2011
IIROC (Investment Industry Regulatory Organization of Canada) May 2007 - September 2008
CIBC Wealth Management June 2005 - May 2007
Skills
Mutual Funds, Risk Management, Securities, Wealth Management, Auditing, Equities, Securities Regulation, AML, Financial Services, Capital Markets, Banking, Asset Management, Investments, KYC, Operational Risk, Anti Money Laundering
Education
University of Alberta
Bachelor of Commerce (BCom)
IIROC (Investment Industry Regulatory Organization of Canada) October 2011 - Present
HSBC Canada September 2006 - October 2011
Equinox Financial Services 2000 - 2006
Aetna Canada / Maritime Life 1989 - 2000
United Nations 1989 - 1989
Banco Wiese 1980 - 1988
Education
Global knowledge
Attended course: Certified Information Systems Security Professional
ICA Associates
Certified Professional Facilitator
ITIL
Certified in Change, Release & Validation - ITIL
Project Management Institute 2010 — 2010
Certified PMP, Project Management
Canadian Securities Institute 2008 — 2008
Certificate, Canadian Securities Course
University of Toronto 2005 — 2005
Professional Engineer, Systems Engineering
Ryerson University 2003 — 2004
Solution Developer, .NET and JAVA
Loma - Fellow Life Management Institute FMLI 1991 — 1992
Level I
IFL - Sigtuna Swedish Institute of International Management 1985 — 1985
Certificate, Applied International Management Program
Svenska HandelsBanken 1985 — 1985
Trainee, Diverse areas from the Bank
The Investment Funds Institute of Canada September 2006 - Present
IIROC (Investment Industry Regulatory Organization of Canada) 2001 - 2006
Toronto Stock Exchange 1997 - 2001
Skills
Economics, Capital Markets, Policy, Report Writing, Wealth Management, Analysis, Financial Regulation, Investments, Mutual Funds, Government, Research, Investment Strategies, Fixed Income
Education
McGill University
PhD, Economics
Merit Source Inc. September 2010 - Present
IIROC (Investment Industry Regulatory Organization of Canada) June 1997 - September 2010
Skills
Accounts Receivable, Accounts Payable, Account Reconciliation, Financial Reporting, Payroll, Bank Reconciliation, Analysis, Budgets
Education
Ryerson University
Accounting
Semi-retired May 2015 - Present
Sun Life Financial October 2012 - May 2015
Sun Life Financial October 2010 - December 2012
IIROC (Investment Industry Regulatory Organization of Canada) July 2001 - April 2009
TriOS College 2005 - 2005
Royal Canadian Mounted Police August 1973 - January 2002
O'Connor McLeod 1991 - 1992
Skills
Risk, Investigation, Enforcement, Fraud, AML, Risk Management, Policy, Fraud Investigations, Investigations, Risk Assessment, Insurance, Due Diligence, Privacy, Protection, Analysis, Contract Negotiation, Problem Solving, Strategic Planning, Auditing, Governance, Public Speaking, Negotiation, Change Management, Process Improvement, Litigation, Investments, Background Checks, Team Building, Business Strategy, Internal Controls, Research, Team Leadership, Criminal Law, Surveillance, Mortgage, Coaching, Security, Ethics, Fraud Prevention, Securities, Mentoring, Claims, Operations Management, Corporate Governance, Compliance, Enterprise Risk..., Compliance Audits, KYC, Compliance Management, Risk Mitigation
Education
Harvard University Kennedy School of Government 2003 — 2003
Strategic Management of Regulatory and Enforcement Agencies
Canadian Forces Staff College 2001 — 2001
Emergency Planning
York University - Osgoode Hall Law School 1998 — 1999
LL.M., Securities Law
Canadian Police College 1982 — 1992
Advanced Certificate in Police Sciences, Police Sciences
York University - Osgoode Hall Law School 1988 — 1991
LL.B, Law
Memorial University of Newfoundland 1979 — 1982
Masters Psychology, Incompleted due to transfer to Ontario
Canadian Police College 1977 — 1982
Certificate in Police Sciences, Police Sciences
Brock University 1970 — 1973
BSc., Biology/Chemistry
IIROC (Investment Industry Regulatory Organization of Canada) Senior Vice President, ComplianceScotiabank Global Banking and MarketsSenior Vice PresidentIIROC2009 - Present
Skills
Capital Markets, Policy, Equities, Bonds, Securities, Corporate Governance, Investments, Securities Regulation
Education
University of Manitoba
LLB
University of Manitoba
Bachelor of Arts (B.A.), Political Studies and Economics
University of Toronto
MBA
RBC Capital Markets November 2009 - Present
IIROC (Investment Industry Regulatory Organization of Canada) October 2005 - November 2009
Skills
Capital Markets, Securities, Electronic Trading, Institutional, Compliance, Risk Management
Education
Brooklyn Law School 1996 — 1999
JD
IIROC (Investment Industry Regulatory Organization of Canada) June 2000 - Present
Edelweiss Credit Union (now Prospera Credit Union) October 1997 - June 2000
Trend College (now Sprott-Shaw) September 1991 - August 1997
Skills
Analysis, Securities, Management, Training, Wealth Management, Human Resources, Risk Management, Software Documentation, Investments, Banking
Education
The University of British Columbia / UBC 2010 — 2012
Certificate of Business Analysis
Canadian Securities Institute 2000 — 2012
Certificate of Investment Dealer Compliance, Securities/Compliance
University of Athabasca 1992 — 1996
Bachelor of Administration, Management
The University of Connecticut 1986 — 1987
Masters of Business Administration (50% complete), Business Administration
University of Alberta 1983 — 1986
Bachelor of Science, Psychology and Mathematics
The University of British Columbia / UBC
Scotiabank Global Banking and Markets September 2011 - Present
IIROC (Investment Industry Regulatory Organization of Canada) 2007 - 2013
Scotia Capital July 2007 - September 2011
Mutual Fund Dealers Association of Canada March 2007 - June 2007
TD Bank Group March 2006 - May 2007
TD Bank Group November 2002 - March 2006
Skills
Financial Risk, Securities, Fixed Income, Equities, Wealth Management, Investments
Education
University of Ottawa 1990 — 2004
Business, Business, Economics
IIROC (Investment Industry Regulatory Organization of Canada) October 2013 - Present
Macquarie Private Wealth Inc. March 2005 - October 2013
Skills
AML, Equities, Risk Management, Investments, Capital Markets, Hedge Funds, Securities, KYC
Education
University of Guelph
ABOB October 2011 - Present
IIROC (Investment Industry Regulatory Organization of Canada) January 2008 - September 2011
TRADEFREEDOM SECURITIES INC November 2000 - December 2007
BMO Nesbitt Burns September 1994 - August 1998
BURNS FRY July 1993 - August 1994
MONTREAL EXCHANGE February 1992 - June 1993
BRASSERIE LA GRANGE June 1985 - January 1992
WOOD GUNDY Inc. September 1982 - April 1986
BANK OF MONTREAL January 1982 - August 1982
Skills
Fully bilingual,..., 25 years experience in..., Extensive knowledge of..., Extensive knowledge of..., Extensive knowledge of..., Srong analytical skills, Proven ability to build..., Results oriented, Superior organizational..., Develop new procedures, Train others, Streamline operations, Bottom-line oriented, Teamwork, Communication, Goal Oriented, Investments, Operations Management, Leadership, Securities, Derivatives, Electronic Trading, Bloomberg, Mutual Funds, Financial Services, Capital Markets, Trading, Financial Markets, Options, Equity Trading, Trading Systems, Equities
Education
CFA Institute 1998 — 2001
CFA Charterholder, Investments and Finance, Completed
CANADIAN SECURITIES INSTITUTE 1981 — 2000
Multiple courses, Investments and Securities, N/A
CONCORDIA UNIVERSITY 1993 — 1998
Master of Business Administration (MBA), Finance, Research paper: "Who wins the zero-sum game?"
Concordia University 1979 — 1981
Bachelor of Commerce (B.Com.), Finance, With distinction
Chronos LTD July 2015 - Present
Pacific Stock Transfer Co. August 2014 - May 2015
ATB Investor Services June 2012 - July 2014
IIROC (Investment Industry Regulatory Organization of Canada) 2009 - 2012
IIROC (Investment Industry Regulatory Organization of Canada) September 2008 - October 2009
IIROC (Investment Industry Regulatory Organization of Canada) March 2007 - September 2008
Chrysler Financial May 2006 - March 2007
Skills
Analysis, Securities, Investments, Securities Regulation, Mutual Funds, Canadian Securities..., Microsoft Office, Banking, SQL, Analyst Notebook, Background Checks, Broadridge Dataphile, Compliance, LexisNexis, iBase, OFAC Listings Search, i2 Analyst Notebook, Complinet, Sage CRM, IDEA Software for..., Coaching, Conduct and Practicies..., Financial Analysis, SharePoint, Customer Service, Financial Services, Credit, Financial Risk, Due Diligence, Portfolio Management, Finance
Education
Canadian Securities Institute 2006 — 2009
CSC, CPH, DFC, OLC
Universitatea Transilvania din Brașov 1997 — 2001
Bachelor's Degree, Business/Commerce, General
TD February 2014 - Present
TD Bank Group December 2011 - January 2014
TD April 2011 - December 2011
TD June 2009 - April 2011
RBC Dominion Securities September 2005 - June 2009
IIROC (Investment Industry Regulatory Organization of Canada) April 2004 - September 2005
TD Waterhouse December 1999 - April 2004
Skills
Economic Sanctions, Trading, Investments, Anti-corruption, Anti Money Laundering, Compliance, Securities, AML, KYC, Mutual Funds, Wealth Management, Banking, Retail Banking, Financial Risk, Financial Services
Education
ACAMS 2012 — 2012
Certified Anti Money Laundering Specialist
Canadian Securities Institute 1999 — 2010
Investments and Securities
George Brown College 1998 — 2000
Financial Planning
Lombard Odier January 2014 - Present
Lombard Odier February 2013 - Present
Lombard Odier January 2008 - February 2013
IIROC (Investment Industry Regulatory Organization of Canada) September 2003 - December 2007
IIROC (Investment Industry Regulatory Organization of Canada) September 2005 - September 2006
IIROC (Investment Industry Regulatory Organization of Canada) March 2001 - September 2003
Microcell Telecom September 1999 - March 2001
IIROC (Investment Industry Regulatory Organization of Canada) September 1997 - September 1999
Samson Bélair/Deloitte & Touche s.e.n.c.r.l. September 1994 - September 1997
Levesque Beaubien Geoffrion 1993 - 1994
Skills
Risk Management, Budgets, Strategic Planning, Gestion des risques, Investissements, Conformité légale, Regulatory compliance, Leadership d'équipe..., Business model, Business case
Education
FINRA - Regulatory courses 2011 — 2012
CSI Global Education Inc. 1998 — 2008
Université du Québec à Montréal / UQAM 1988 — 1992
BAA - Comptabilité, Comptabilité
Université de Sherbrooke / Sherbrooke University 1985 — 1988
BSc, Biologie/Microbiologie
Collège Bois de Boulogne 1983 — 1985
Collège français 1978 — 1983
CIBC September 2014 - Present
IIROC (Investment Industry Regulatory Organization of Canada) January 2010 - September 2014
CIBC Wealth Management March 2004 - January 2010
CIBC Wealth Management May 2000 - March 2004
CIBC Wealth Management October 1998 - May 2000
CIBC July 1995 - October 1998
CIBC World Markets September 1994 - July 1995
Skills
Fixed Income, Equities, Capital Markets, Compliance, Mutual Funds, Trade Compliance, Trading, Wealth Management
Education
McMaster University
Bachelor of Arts (BA), Economics