Keybase Financial

Hired originally as Compliance Manager for Keybase, promoted to interim Chief Compliance Officer of Argosy within six months. Mandated to review and interpret regulations under the Mutual Fund Dealers Association of Canada (MFDA), and to ensure compliance in the rapidly changing mutual funds environment.

  • Managed project plan, budget, structure, schedule and staffing requirements to form the new compliance department.
  • Lead and managed a team of Compliance Officers and Operational Administrators and worked closely with Branch Managers across Canada to promote a culture of risk management and compliance throughout all levels within the organization.
  • Assessed individual and team’s knowledge and skills to identify learning gaps by setting performance objectives, delivered on-going feedback and conducted mid-year/final performance reviews.
  • Educated and trained Financial Advisors and Branch Managers, ensuring that clearly defined lines and standards of accountability were implemented and adhered with.
  • Designed, developed & delivered regulatory compliance training courses for classroom, Instructor-led online, and eLearning.
  • Developed and instituted analytical and prediction tools for suitability and risk assessment, compliance procedures, and internal audit using raw data to identify patterns and build compliance models.

Leave a Reply

Your email address will not be published. Required fields are marked *