. Former Chief Compliance Officers (CCO), AML Officers, Privacy Officers.
. Ombudsman role for a large North American financial institution. . Expert in the roles and responsibilities of a CCO with in-depth knowledge of OSC requirements.
. Trained financial advisors for conducting KYC and due diligence for suitability assessments at a Bank.
. Completed successfully OSC audits.
. Managed process to get a firm registered as an exempt market dealer. . Established business continuity plan and cyber security policies and procedures at leading firm.
