Experience & Expertise . Accounting, finance and investment professional with risk management, treasury, internal controls audit/SOX and regulatory compliance expertise in insurance, banking, treasury, capital markets, wealth management and mutual/segregated fund operations.
. Completed consulting assignments at major financial institutions including TD Bank, Manulife, Royal Bank and Franklin Templeton.
. Conducted audits of wealth management advisory and brokerage operations in Canada, UK, Hong Kong, UK, Channel Islands and Bahamas covering KYC, KYP, suitability, best interests, conflicts of interest and trading practices (best execution, fair allocation, soft dollars, etc.).
. Conducted internal control audits covering various businesses working directly with process owners/senior management advising them on the adequacy of internal controls and provided recommendations on remediation.
. Managed capital market transactions and investment product launches including tax, accounting, legal and regulatory issues, conducting risk assessments and implementing financial and operating controls using project management framework to facilitate all aspects of the project.
. Risk management experience includes interest rate, market, credit and operational risk management.
. Expertise in governance, compliance and financial reporting with experience drafting policies, procedures and compliance documentation.
