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.
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.
LATCAN CONSULTING
Sole Proprietor - March 1990 to Present
Have engaged in photography, computer services, and business services, including property management.
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
August 1997
Responsible for all technology issues pertaining to Retail Compliance requiring good understanding of technology and
compliance.
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.
NESBITT BURNS CORP
BURNS FRY LIMITED
Assistant Vice-President, Retail Compliance / Senior Compliance Officer / Compliance Officer - September 1993 to
August 1997
Responsible for all technology issues pertaining to Retail Compliance requiring good understanding of technology and
compliance.
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.
PRUDENTIAL-BACHE SECURITIES CANADA LTD
Supervisor of Allocations and Foreign Settlement - April 1987 to October 1990
Managed staff of five.
Supervisor of Allocations and Foreign Settlement - April 1987 to October 1990
Managed staff of five.
| Professional - RsashaL |
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.
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.
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
INVESTMENT DEALERS ASSOCIATION
Manager, Business Conduct Compliance - April 2007 to Present
Regulatory oversight over a number of Dealer Members.
INVESTMENT DEALERS ASSOCIATION
Manager, Business Conduct Compliance - April 2007 to Present
Regulatory oversight over a number of Dealer Members.
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