INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
INVESTMENT DEALERS ASSOCIATION OF CANADA (IDA)

Manager, Business Conduct Compliance (formerly Sales Compliance) - April 2007 to Current

  • Responsible for the oversight of Business Conduct Compliance for approximately 20 Member firms in Ontario,
    New Brunswick and Nova Scotia.

  • Manage risk based Business Conduct Examinations and Sweeps of our Member firms.

  • Review and approve New Member Applicants as well as subsequent changes to business models.

  • Respond to Member firm enquiries.

  • Manage 3 Business Conduct Examiners.

  • Participated in internal projects resulting from the merger of the Investment Dealers Association and Market
    Regulation Services.

  • Presented a web-based Seminar on "Fee Based Business" to approximately 2000 registrants.

  • Presented at a Member's Annual Conference.