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
- Presented a web-based Seminar on "Fee Based Business" to approximately 2000 registrants.
- Presented at a Member's Annual Conference.