IIROC (Investment Industry Regulatory Organization of Canada)

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 (Investment Industry Regulatory Organization of Canada) Employees

Employee
Years
Job
Industry
Paul Falcao Paul Falcao Toronto, Canada Area Details
Paul Falcao's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2005 - 2009
Job Senior Compliance Officer Dealer Compliance at B2B Bank
Industry Financial Services
Experience
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

Meghna Dhingra Meghna Dhingra Toronto, Canada Area Details
Meghna Dhingra's IIROC (Investment Industry Regulatory Organization of Canada) Experience April 2014 - July 2014
Job Business Analyst at Rogers Communications
Industry Information Technology and Services
Experience
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

Adam Evans Adam Evans Toronto, Canada Area Details
Adam Evans's IIROC (Investment Industry Regulatory Organization of Canada) Experience March 2002 - June 2006
Job Director, Security Operations Centre at RBC
Industry Financial Services
Experience
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

Tyson Mark, CISSP Tyson Mark, CISSP Toronto, Canada Area Details
Tyson Mark, CISSP's IIROC (Investment Industry Regulatory Organization of Canada) Experience January 1996 - April 2000
Job Director, Information Technology Operations at Mutual Fund Dealers Association of Canada (MFDA)
Industry Financial Services
Experience
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

Brent McLellan Brent McLellan Montreal, Canada Area Details
Brent McLellan's IIROC (Investment Industry Regulatory Organization of Canada) Experience December 2014 - Present
Job Trading and Business Conduct Examiner chez IIROC (Investment Industry Regulatory Organization of Canada)
Industry Venture Capital & Private Equity
Experience
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

Denise Carson, CPA, CMA Denise Carson, CPA, CMA Toronto, Canada Area Details
Denise Carson, CPA, CMA's IIROC (Investment Industry Regulatory Organization of Canada) Experience June 2007 - August 2011
Job Director, Retail Compliance at BMO Nesbitt Burns
Industry Financial Services
Experience
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

Andrew Kriegler Andrew Kriegler Toronto, Canada Area Details
Andrew Kriegler's IIROC (Investment Industry Regulatory Organization of Canada) Experience November 2014 - Present
Job President & Chief Executive Officer at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Karen Hindle Karen Hindle Toronto, Canada Area Details
Karen Hindle's IIROC (Investment Industry Regulatory Organization of Canada) Experience April 2015 - Present
Job Human Resources Administration & Recruitment Specialist at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Jacky Laurin Jacky Laurin Toronto, Canada Area Details
Jacky Laurin's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2001 - 2011
Job Comarm Solutions Inc Consultant
Industry Investment Banking
Experience
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

Nicolas Grady Nicolas Grady Halifax, Canada Area Details
Nicolas Grady's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2000 - Present
Job Senior Financial Planning Advisor at Assante Capital Management Ltd.
Industry Financial Services
Experience
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

Paul Chon Paul Chon Washington D.C. Metro Area Details
Paul Chon's IIROC (Investment Industry Regulatory Organization of Canada) Experience 1998 - 1999
Job Senior Director at Sodexo
Industry Facilities Services
Experience
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

Dimitrios Zervogiannis Dimitrios Zervogiannis Montreal, Canada Area Details
Dimitrios Zervogiannis's IIROC (Investment Industry Regulatory Organization of Canada) Experience April 2015 - Present
Job Examiner, Business Conduct Compliance at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Marlene Pinto Marlene Pinto Toronto, Canada Area Details
Marlene Pinto's IIROC (Investment Industry Regulatory Organization of Canada) Experience March 2011 - Present
Job Examiner, Business Conduct Compliance at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Janice Fell Janice Fell Calgary, Canada Area Details
Janice Fell's IIROC (Investment Industry Regulatory Organization of Canada) Experience February 2010 - Present
Job Business Conduct Compliance Examiner at the Investment Industry Regulatory Organization of Canada (IIROC)
Industry Financial Services
Experience
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

Brendan Hart Brendan Hart Toronto, Canada Area Details
Brendan Hart's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2008 - 2011
Job Senior Legal Counsel at OMERS
Industry Law Practice
Experience
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

Lucy Tran, CAMS Lucy Tran, CAMS Toronto, Canada Area Details
Lucy Tran, CAMS's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2010 - 2010
Job Manager AntiMoney Laundering and Financial Crime Compliance
Industry Financial Services
Experience
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

Khaled Tawfik Khaled Tawfik Toronto, Canada Area Details
Khaled Tawfik's IIROC (Investment Industry Regulatory Organization of Canada) Experience December 2002 - April 2003
Job Sr. Business/Management Consultant
Industry Management Consulting
Experience
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

Dominic Hurtubise, CFE, CAMS, CIM, FCSI Dominic Hurtubise, CFE, CAMS, CIM, FCSI Montreal, Canada Area Details
Dominic Hurtubise, CFE, CAMS, CIM, FCSI's IIROC (Investment Industry Regulatory Organization of Canada) Experience November 2008 - May 2014
Job Senior Advisor and Project Leader, Compliance and AML, Desjardins
Industry Financial Services
Experience
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

Angela Proctor, MBA, Honours BA, CSM Angela Proctor, MBA, Honours BA, CSM Washington D.C. Metro Area Details
Angela Proctor, MBA, Honours BA, CSM's IIROC (Investment Industry Regulatory Organization of Canada) Experience September 2000 - February 2004
Job Certified Scrum Master/Project Manager
Industry Information Technology and Services
Experience
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

Alissa Rubin Alissa Rubin Toronto, Canada Area Details
Alissa Rubin's IIROC (Investment Industry Regulatory Organization of Canada) Experience July 2013 - March 2014
Job Neighbourhood Greetings
Industry Retail
Experience
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

Maija-Liisa MacLeod Puddle Maija-Liisa MacLeod Puddle Toronto, Canada Area Details
Maija-Liisa MacLeod Puddle's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2006 - 2007
Job Passionate about local policy and responsibility, for stronger communities.
Industry Public Policy
Experience
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

Pauline Davison, FMA Pauline Davison, FMA Toronto, Canada Area Details
Pauline Davison, FMA's IIROC (Investment Industry Regulatory Organization of Canada) Experience May 2008 - December 2011
Job VP, Compliance at Queensbury Securities Inc.
Industry Financial Services
Experience
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

Carla Estevao-Machado Carla Estevao-Machado Toronto, Canada Area Details
Carla Estevao-Machado's IIROC (Investment Industry Regulatory Organization of Canada) Experience February 2008 - October 2008
Job Corporate Securities Law Clerk at IAMGOLD Corporation
Industry Mining & Metals
Experience
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

Harry Apostolatos Harry Apostolatos Toronto, Canada Area Details
Harry Apostolatos's IIROC (Investment Industry Regulatory Organization of Canada) Experience February 2015 - Present
Job Senior Investigator Investment Industry Regulatory Organization of Canada (IIROC)
Industry Financial Services
Experience
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

Stephane Rozier Stephane Rozier Montreal, Canada Area Details
Stephane Rozier's IIROC (Investment Industry Regulatory Organization of Canada) Experience March 2010 - May 2011
Job SVP Listed Derivatives at Macquarie Group
Industry Financial Services
Experience
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

Doug Harris Doug Harris Toronto, Canada Area Details
Doug Harris's IIROC (Investment Industry Regulatory Organization of Canada) Experience February 2014 - Present
Job General Counsel and Corporate Secretary at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Capital Markets
Experience
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

Lise St-Onge Lise St-Onge Toronto, Canada Area Details
Lise St-Onge's IIROC (Investment Industry Regulatory Organization of Canada) Experience April 2011 - 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

Jean-Paul Bachellerie Jean-Paul Bachellerie Vancouver, Canada Area Details
Jean-Paul Bachellerie's IIROC (Investment Industry Regulatory Organization of Canada) Experience September 2013 - Present
Job President and COO, PI Financial Corp.
Industry Financial Services
Experience
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

Karen Archer Karen Archer Toronto, Canada Area Details
Karen Archer's IIROC (Investment Industry Regulatory Organization of Canada) Experience March 2013 - Present
Job Senior Media and Public Affairs Specialist at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Shermina Karim, LL.B Shermina Karim, LL.B Toronto, Canada Area Details
Shermina Karim, LL.B's IIROC (Investment Industry Regulatory Organization of Canada) Experience July 2015 - Present
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

Monica Stanica Monica Stanica Toronto, Canada Area Details
Monica Stanica's IIROC (Investment Industry Regulatory Organization of Canada) Experience January 2012 - December 2012
Job Project Manager at 407 ETR
Industry Information Technology and Services
Experience
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

Kari Tavener Kari Tavener Toronto, Canada Area Details
Kari Tavener's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2004 - 2005
Job Director Market Surveillance at RBC
Industry Financial Services
Experience
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

Kathy Federkiewicz Kathy Federkiewicz Toronto, Canada Area Details
Kathy Federkiewicz's IIROC (Investment Industry Regulatory Organization of Canada) Experience May 2007 - September 2008
Job Senior Compliance Officer at Dundee Capital Markets
Industry Financial Services
Experience
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)

Gicela Isla-Richter Gicela Isla-Richter Toronto, Canada Area Details
Gicela Isla-Richter's IIROC (Investment Industry Regulatory Organization of Canada) Experience October 2011 - Present
Job Release Management & Testing Specialist at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Jon Cockerline Jon Cockerline Toronto, Canada Area Details
Jon Cockerline's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2001 - 2006
Job Director, Policy & Research at The Investment Funds Institute of Canada
Industry Financial Services
Experience
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

Myra Kang Myra Kang Toronto, Canada Area Details
Myra Kang's IIROC (Investment Industry Regulatory Organization of Canada) Experience June 1997 - September 2010
Job Controller at Merit Source Inc.
Industry Marketing and Advertising
Experience
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

Alex Popovic BSc. LL.B. LL.M. Alex Popovic BSc. LL.B. LL.M. Toronto, Canada Area Details
Alex Popovic BSc. LL.B. LL.M.'s IIROC (Investment Industry Regulatory Organization of Canada) Experience July 2001 - April 2009
Job AVP Enterprise Investigations at Sun Life Financial
Industry Financial Services
Experience
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

Paul Riccardi BA, LL.B, MBA Paul Riccardi BA, LL.B, MBA Toronto, Canada Area Details
Paul Riccardi BA, LL.B, MBA's IIROC (Investment Industry Regulatory Organization of Canada) Experience Senior Vice President, ComplianceScotiabank Global Banking and MarketsSenior Vice PresidentIIROC2009 - Present
Job Senior Vice Presiden Enforcement, Policy & Registration at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Felix Mazer Felix Mazer Toronto, Canada Area Details
Felix Mazer's IIROC (Investment Industry Regulatory Organization of Canada) Experience October 2005 - November 2009
Job Director RBC Capital Markets
Industry Investment Banking
Experience
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

Josette Nagel Josette Nagel Vancouver, Canada Area Details
Josette Nagel's IIROC (Investment Industry Regulatory Organization of Canada) Experience June 2000 - Present
Job Manager, Registration at IIROC (Investment Industry Regulatory Organization of Canada)
Industry Financial Services
Experience
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

Veronique Titus Veronique Titus Toronto, Canada Area Details
Veronique Titus's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2007 - 2013
Job Senior Compliance Officer, Trade Desk at Scotiabank Global Banking and Markets
Industry Banking
Experience
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

Kimberly Boyce Kimberly Boyce Toronto, Canada Area Details
Kimberly Boyce's IIROC (Investment Industry Regulatory Organization of Canada) Experience October 2013 - Present
Job Senior Case Assessment Officer, IIROC
Industry Financial Services
Experience
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

David Kennedy, MBA David Kennedy, MBA Montreal, Canada Area Details
David Kennedy, MBA's IIROC (Investment Industry Regulatory Organization of Canada) Experience January 2008 - September 2011
Job Consultant at ABOB
Industry Financial Services
Experience
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

Diana Chirciu, CFE Diana Chirciu, CFE Las Vegas, Nevada Details
Diana Chirciu, CFE's IIROC (Investment Industry Regulatory Organization of Canada) Experience 2009 - 2012
Job Office Manager at Chronos LTD
Industry Computer Software
Experience
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

Cheryl Hodgkiss, CAMS Cheryl Hodgkiss, CAMS Toronto, Canada Area Details
Cheryl Hodgkiss, CAMS's IIROC (Investment Industry Regulatory Organization of Canada) Experience April 2004 - September 2005
Job Program Director at TD
Industry Banking
Experience
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

Yann Citté, CPA, CGA Yann Citté, CPA, CGA Montreal, Canada Area Details
Yann Citté, CPA, CGA's IIROC (Investment Industry Regulatory Organization of Canada) Experience September 2003 - December 2007
Job Head of Compliance Americas Bank Lombard Odier & Co
Industry Investment Banking
Experience
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

Joe Zambito Joe Zambito Toronto, Canada Area Details
Joe Zambito's IIROC (Investment Industry Regulatory Organization of Canada) Experience January 2010 - September 2014
Job Senior compliance Officer at CIBC
Industry Financial Services
Experience
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