Amanda Legomski

Experience

• 

  Sterling Mutuals Inc.

  Sept 2011 - Mar 2022

  Risk management, monitoring and record keeping of infractions and assist the compliance department in the implementation of adequate controls, provide early identification of potential compliance issuesCreated and analyze periodic reports, flagging any regulatory concerns and correct any reporting mistakes to support the management of $4 billion in investment assetsProviding leadership, education and training to all Sterling Financial Advisors to ensure compliance with the regulatorsProvide coverage for Corporate Branch Managers (Tier 1) conducting KYC and trade approval Created new audit programs to ensure standards are met for MFDA Policy 2 and Policy 5Created a Leverage Guide for Sterling Financial Advisors to use when suggesting Leveraging to clientsAdhere to PIPEDA and AML legislationPrepare client selection of audits and create reports for the Compliance Consultant to review with the advisor Show less Process, settle and reconcile tradesReview transactions to ensure accuracy of information to ensure that trades conform to regulationsConduct high quality branch reviews Provide timely and effective communication to our team of processors and compliance departmentInteractive communication with our representatives nationwideAssist representatives through the process of setting up their tradesPrepare and send EFT payments to our clientsPrepare and mail cheques Review and approve wire and non-wire trades Ensuring compliance with suitability requirements Show less

  • Compliance Officer

    Aug 2017 - Mar 2022

  • Back Office Administrator & Compliance Auditor

    Sept 2011 - Mar 2022
• 

  Sun Life

  Mar 2022 - now

  Trade Supervision Manager