Experience

• 

  Td canada trust

  Nov 1999 - Sept 2004

  Financial advisor/financial services rep/customer services rep

  Financial Services for retail banking clients( day-to-day banking, investing and credit).

• 

  Td

  Sept 2005 - Jun 2017

  My team proactively managed Regulatory Change for the wealth businesses in Canada. We support the self-directed and advisory channels.We identify and communicate the changes and works with other Compliance areas, support functions and the impacted businesses to address and implementing the regulatory changes. My role encompassed 3 elements Advisory: collaborate on projects and other business initiatives;provide ongoing guidance to advisors, supervisors and operational areasTraining: conducts training to new hiresTesting: conduct onsite reviews ensure that the brokerage and administrative activities are compliant with the industry and SRO regulations, and are performed within the guidelines outlined in the firm’s internal policies and procedures. Investigated and resolved complaints as per IIROC Rule 2500B.

  • Manager Compliance

    Dec 2015 - Jun 2017

  • Senior Compliance Officer

    Jul 2010 - Dec 2015

  • Senior Client Services Representative

    Sept 2005 - Sept 2010
• 

  Bmo financial group

  Jun 2017 - now

  • Senior Compliance Manager

    Nov 2017 - now

  • Manager Compliance

    Jun 2017 - Nov 2017