BIO

As an experienced Chief Compliance Officer for Exempt Market Dealers, Investment Fund Managers, Portfolio Managers, CIRO Dealer Members and NFA Members, I have in-depth knowledge and hands on experience with a broad range of firms and regulatory landscapes. Whether you are a start up or established firm, I have the skillset and business acumen to help you navigate the regulatory waters. The scope of my experience includes launching new dealers and investment funds in Canada and foreign listings in Dubai & Australia

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A few areas of focus I can be of assistance in are; policies and procedures manual reviews and updates, business continuity planning, monitor engagements, AML risk assessments and training, supervision, regulatory guidance, product development, conflicts of interest, mock audits, general day-to-day support, initial and ongoing due diligence, compliance projects, conflicts of interest and general training for your team

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I enjoy my spare time with family and friends, being in nature, travelling and exploring all this world has to offer!

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I look forward to working with you!