TD WATERHOUSE CANADA INC
TD SECURITIES INC
Vice-President, Retail Compliance / Assistant Vice-President, Retail Compliance - August 1997 to November 2006
Was responsible for the compliance oversight of two divisions:
* TD Waterhouse Private Investment Advice - full service brokerage division.
* TD Waterhouse Institutional Services - correspondent brokerage division.
Sole Proprietor - March 1990 to Present
Have engaged in photography, computer services, and business services, including property management.
NESBITT BURNS INC
NESBITT BURNS CORP
BURNS FRY LIMITED
Assistant Vice-President, Retail Compliance / Senior Compliance Officer / Compliance Officer - September 1993 to
Responsible for all technology issues pertaining to Retail Compliance requiring good understanding of technology and
Institutional Credit Coordinator - April 1993 to September 1993
Managed firm risk by interacting directly with clients and traders, and reported as per regulatory requirements.
Foreign Operations Coordinator - October 1990 to April 1993
Settled trades in various overseas settlement systems and serviced all foreign client accounts.
Highly analytical, motivated and innovative professional with diverse experience within the securities industry. Solid background
in regulatory risk management. Operated within rapidly changing business cultures and regulatory environments. Effective
communication and presentation skills. Strong individual contributor, but also work productively in a team environment.