IIROC Company
Description
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 Employees
Employee
Years
Job
Industry
Faye Emmanuel Faye Emmanuel's IIROC Experience January 2008 - January 2011
Job Enforcement Counsel at Mutual Fund Dealers Association
Industry Law Practice
Experience
Mutual Fund Dealers Association October 2012 - October 2014
IIROC January 2008 - January 2011
Docken & Company November 2005 - December 2007
Borden Ladner Gervais LLP June 2005 - August 2005
Old Strathcona Law Offices October 2004 - June 2005
Old Strathcona Law Offices May 2003 - October 2004
Skills
Enforcement, Securities Regulation, Litigation, Intellectual Property, Legal Research, Civil Litigation, Employment Law
Education
University of Calgary 2000 — 2003
Bachelor of Laws (LLB)
University of Alberta 1994 — 1998
Bachelor of Arts (B.A.), Sociology and Political Science
Mutual Fund Dealers Association October 2012 - October 2014
IIROC January 2008 - January 2011
Docken & Company November 2005 - December 2007
Borden Ladner Gervais LLP June 2005 - August 2005
Old Strathcona Law Offices October 2004 - June 2005
Old Strathcona Law Offices May 2003 - October 2004
Skills
Enforcement, Securities Regulation, Litigation, Intellectual Property, Legal Research, Civil Litigation, Employment Law
Education
University of Calgary 2000 — 2003
Bachelor of Laws (LLB)
University of Alberta 1994 — 1998
Bachelor of Arts (B.A.), Sociology and Political Science
MICHEL NAHMANY MICHEL NAHMANY's IIROC Experience January 2014 - Present
Job Trade Conduct Compliance Examiner at IIROC
Industry Investment Management
Experience
IIROC January 2014 - Present
SWING CAPITAL September 2006 - January 2014
National Bank March 2001 - August 2006
Education
HEC Montréal 1987 — 1991
IIROC January 2014 - Present
SWING CAPITAL September 2006 - January 2014
National Bank March 2001 - August 2006
Education
HEC Montréal 1987 — 1991
Kaoru Takanashi Kaoru Takanashi's IIROC Experience November 2007 - June 2009
Job Compliance Officer at RBC Dominion Securities
Industry Financial Services
Experience
RBC Dominion Securities June 2009 - Present
IIROC November 2007 - June 2009
Advisor Impact Inc. August 2006 - September 2007
BMO InvestorLine April 2003 - September 2006
Bank of Montreal April 2002 - April 2003
Skills
Securities, Risk Management, AML, Investments, Options, Policy, Compliance, Regulatory Affairs, Futures, Auditing, Banking, Derivatives, Wealth Management
Education
Ryerson University 1996 — 2001
B.A.A
RBC Dominion Securities June 2009 - Present
IIROC November 2007 - June 2009
Advisor Impact Inc. August 2006 - September 2007
BMO InvestorLine April 2003 - September 2006
Bank of Montreal April 2002 - April 2003
Skills
Securities, Risk Management, AML, Investments, Options, Policy, Compliance, Regulatory Affairs, Futures, Auditing, Banking, Derivatives, Wealth Management
Education
Ryerson University 1996 — 2001
B.A.A
Juliya Freidlin Juliya Freidlin's IIROC Experience April 2009 - December 2012
Job Senior QA Analyst at CIBC Wholesale Banking
Industry Financial Services
Experience
Royal Bank of Canada May 2015 - Present
CIBC Wholesale Banking September 2013 - December 2014
TD Securities February 2013 - August 2013
IIROC April 2009 - December 2012
Alpha Trading Systems January 2008 - April 2009
TD Bank March 2007 - December 2007
FIS Financial Solutions Canada Inc. 2004 - 2005
E*TRADE Financial 2002 - 2005
Skills
Derivatives, Capital Markets, Trading Systems, SDLC, User Acceptance Testing, Risk Management, Quality Assurance, Business Analysis, Fixed Income, Trading, Equity Trading, Securities, Market Data, Requirements Gathering, Testing, Software Quality..., Quality Center, Wealth Management, Test Planning, Test Automation, Options, Electronic Trading, Performance Testing
Education
Seneca College of Applied Arts and Technology 1997 — 1999
Diploma, Business Computer Systems
Royal Bank of Canada May 2015 - Present
CIBC Wholesale Banking September 2013 - December 2014
TD Securities February 2013 - August 2013
IIROC April 2009 - December 2012
Alpha Trading Systems January 2008 - April 2009
TD Bank March 2007 - December 2007
FIS Financial Solutions Canada Inc. 2004 - 2005
E*TRADE Financial 2002 - 2005
Skills
Derivatives, Capital Markets, Trading Systems, SDLC, User Acceptance Testing, Risk Management, Quality Assurance, Business Analysis, Fixed Income, Trading, Equity Trading, Securities, Market Data, Requirements Gathering, Testing, Software Quality..., Quality Center, Wealth Management, Test Planning, Test Automation, Options, Electronic Trading, Performance Testing
Education
Seneca College of Applied Arts and Technology 1997 — 1999
Diploma, Business Computer Systems
Dragica Grbavac (Robinson) Dragica Grbavac (Robinson)'s IIROC Experience 2004 - 2004
Job Regulatory Compliance, Operational Risk and Program Management Professional
Industry Management Consulting
Experience
Ontario Hospital Association 2008 - Present
International Centre for Operational Risk Management 2003 - Present
Delta Solution Group September 1994 - Present
CGI Group Inc. 2010 - 2015
Centerra Gold Inc. 2009 - 2013
Osgoode Hall Law School 2008 - 2010
Schulich School of Business, Executive Education 2005 - 2010
CitiGroup - Primerica Financial 2004 - 2006
IIROC 2004 - 2004
Hewlett-Packard 2001 - 2003
Skills
Risk Management, Strategy, Program Management, Leadership, Operational Risk..., Management, Business Strategy, Business Process, Financial Services, CRM, Executive Management, Strategic Planning, Operations Management, Change Management, Business Analysis, Governance, Consulting, Financial Risk, Team Building, Creative Problem Solving, Training, Finance, Business Process..., Management Consulting, Workshop Facilitation, Banking, Start-ups, Vendor Management, Risk Assessment, Team Leadership, Process Improvement, Investments, IT Strategy, Program Development, Restructuring, Enterprise Risk..., Performance Management, Mergers & Acquisitions, Operational Risk, Analysis, Organizational..., Leadership Development, Facilitators, Team Management, Business Transformation, Auditing, Insurance, Business Planning, PMO
Education
Society of Management Accountants 1985 — 1988
Management Accounting (CMA Program)
Ontario Securities Commission/IFIC 1987 — 1987
PDO Qual., Canadian Securities Course
University of Ottawa 1982 — 1984
Fellow of the Institute of Canadian Bankers (FICB) (majors in: Economics, Finance and Law), B.Com Curriculum in Banking, Corporate Finance, and Securities Law
Credit Institute of Canada
Associate's degree, (Commercial Credit and Mortgage Lending Management), Associate of the Credit Institute of Canada
McMaster University
Business, Law (Tort/Contract Law), Economics and Marketing
Ontario Hospital Association 2008 - Present
International Centre for Operational Risk Management 2003 - Present
Delta Solution Group September 1994 - Present
CGI Group Inc. 2010 - 2015
Centerra Gold Inc. 2009 - 2013
Osgoode Hall Law School 2008 - 2010
Schulich School of Business, Executive Education 2005 - 2010
CitiGroup - Primerica Financial 2004 - 2006
IIROC 2004 - 2004
Hewlett-Packard 2001 - 2003
Skills
Risk Management, Strategy, Program Management, Leadership, Operational Risk..., Management, Business Strategy, Business Process, Financial Services, CRM, Executive Management, Strategic Planning, Operations Management, Change Management, Business Analysis, Governance, Consulting, Financial Risk, Team Building, Creative Problem Solving, Training, Finance, Business Process..., Management Consulting, Workshop Facilitation, Banking, Start-ups, Vendor Management, Risk Assessment, Team Leadership, Process Improvement, Investments, IT Strategy, Program Development, Restructuring, Enterprise Risk..., Performance Management, Mergers & Acquisitions, Operational Risk, Analysis, Organizational..., Leadership Development, Facilitators, Team Management, Business Transformation, Auditing, Insurance, Business Planning, PMO
Education
Society of Management Accountants 1985 — 1988
Management Accounting (CMA Program)
Ontario Securities Commission/IFIC 1987 — 1987
PDO Qual., Canadian Securities Course
University of Ottawa 1982 — 1984
Fellow of the Institute of Canadian Bankers (FICB) (majors in: Economics, Finance and Law), B.Com Curriculum in Banking, Corporate Finance, and Securities Law
Credit Institute of Canada
Associate's degree, (Commercial Credit and Mortgage Lending Management), Associate of the Credit Institute of Canada
McMaster University
Business, Law (Tort/Contract Law), Economics and Marketing
Haley Mitchell Haley Mitchell's IIROC Experience June 2010 - March 2011
Job Senior Compliance Officer at BMO Capital Markets
Industry Financial Services
Experience
BMO Capital Markets March 2011 - Present
IIROC June 2010 - March 2011
IIROC June 2007 - June 2010
Alberta Securities Commission November 2006 - April 2007
Blake, Cassels & Graydon LLP April 2006 - November 2006
Fraser Milner Casgrain LLP May 2005 - April 2006
Skills
Trading, Securities Regulation, Securities, Derivatives, Corporate Governance, Banking, Regulatory Requirements, Trade Surveillance, Trade Desk Review, Equities, Electronic Trading, Trading Systems, Finance, Legal Assistance, Regulatory Filings, Risk Assessment, Risk Management, Investment Banking, Capital Markets, Investments, AML, KYC, Wealth Management, Surveillance, Private Equity, Anti Money Laundering
Education
Southern Alberta Institute of Technology 2002 — 2005
Law
Canadian Securities Institute
BMO Capital Markets March 2011 - Present
IIROC June 2010 - March 2011
IIROC June 2007 - June 2010
Alberta Securities Commission November 2006 - April 2007
Blake, Cassels & Graydon LLP April 2006 - November 2006
Fraser Milner Casgrain LLP May 2005 - April 2006
Skills
Trading, Securities Regulation, Securities, Derivatives, Corporate Governance, Banking, Regulatory Requirements, Trade Surveillance, Trade Desk Review, Equities, Electronic Trading, Trading Systems, Finance, Legal Assistance, Regulatory Filings, Risk Assessment, Risk Management, Investment Banking, Capital Markets, Investments, AML, KYC, Wealth Management, Surveillance, Private Equity, Anti Money Laundering
Education
Southern Alberta Institute of Technology 2002 — 2005
Law
Canadian Securities Institute
Lise St-Onge's IIROC Experience August 2007 - Present
Job Manager, Trading Conduct Compliance at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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
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
Shermina Karim, LL.B's IIROC Experience July 2010 - 2011
Job Investigator, Enforcement at IIROC
Industry Investment Banking
Experience
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
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
sanka kasturiarachchi's IIROC Experience Assistant Manager Clearing & SettlementColombo Stock ExchangeMarch 2005 - August 2005
Job Surveillance Officer at IIROC
Industry Financial Services
Experience
IIROC Assistant Manager Clearing & SettlementColombo Stock ExchangeMarch 2005 - August 2005
Education
University of Colombo 1995 — 1999
LLB, Law
IIROC Assistant Manager Clearing & SettlementColombo Stock ExchangeMarch 2005 - August 2005
Education
University of Colombo 1995 — 1999
LLB, Law
Rachel Yu, CPA, CA's IIROC Experience January 2006 - Present
Job Senior Financial Examiner at IIROC
Industry Accounting
Experience
IIROC January 2006 - Present
RCGT 2000 - 2003
Education
Concordia University
Bachelor, Accounting
Royal George
IIROC January 2006 - Present
RCGT 2000 - 2003
Education
Concordia University
Bachelor, Accounting
Royal George
Sanka Kasturiarachchi's IIROC Experience Asst. Mgr Clearing and Settlement/Surveillance ExecutiveColombo Stock ExchangeSeptember 2000 - August 2005
Job Surveilllance Officer at IIROC
Industry Financial Services
Experience
IIROC Asst. Mgr Clearing and Settlement/Surveillance ExecutiveColombo Stock ExchangeSeptember 2000 - August 2005
Education
University of Colombo 1994 — 1999
LLB, Law
IIROC Asst. Mgr Clearing and Settlement/Surveillance ExecutiveColombo Stock ExchangeSeptember 2000 - August 2005
Education
University of Colombo 1994 — 1999
LLB, Law