Michael Kenney, CFP

Experience

• 

  TD Waterhouse

  May 1999 - Feb 2001

  Investment Representative
• 

  Qtrade Financial Group

  Feb 2001 - Apr 2016

  Reporting directly to the VP Compliance, responsible for Trade Surveillance and the application of Universal Market Integrity Rules at both the client and firm level. This includes oversight of daily, monthly and quarterly trading activity through various platforms and manual processes, maintenance of supervision records, and producing internal and external regulatory reports as assigned. Responsible for option account monitoring and expiry, margin concentration, overdue account reports and assisted in RAC calculations. Monitored daily activity from both a credit and AML perspective plus various other AML functions including Terrorism reporting. Designated AROP, responsible for quarterly financial plan audit and assisted in Trade Surveillance,

  • Trading Compliance Officer

    Mar 2015 - Apr 2016

  • Compliance/Credit officer

    Sept 2010 - Mar 2015

  • Registered Representative

    Sept 2009 - Sept 2010

  • Investment Representative

    Feb 2001 - Sept 2009
• 

  Worldsource Financial Management & Worldsource Securities Inc.

  May 2016 - now

  Reporting to the Director of Compliance, responsibilities include conducting branch compliance audits, in-branch Advisor & Branch Manager compliance training and complaint handling. A underlying component of this position is based upon the improvement of collaborative relationships with Advisors & Branch managers to effectively promote a positive compliance culture within the MFDA and IIROC branch environments.

  • Senior Regional Compliance Officer

    Jan 2023 - now

  • Regional Compliance Officer

    May 2016 - Jan 2023