Andrea Lee

Andrea Lee Email and Phone Number

Compliance Consultant for Investment Firms @
Andrea Lee's Location
Victoria, British Columbia, Canada, Canada
About Andrea Lee

Andrea Lee is a Compliance Consultant for Investment Firms at Independent Consultant (Investment Industry).

Andrea Lee's Current Company Details
Independent Consultant (Investment Industry)

Independent Consultant (Investment Industry)

Compliance Consultant for Investment Firms
Andrea Lee Work Experience Details
  • Independent Consultant (Investment Industry)
    Compliance Consultant
    Independent Consultant (Investment Industry) Aug 2017 - Present
    Vancouver, Canada Area
    As a former Portfolio Manager and Chief Compliance Officer, I enjoy working with companies to help them better understand the ever-expanding set of rules and responsibilities and improve their own compliance regimes. My primary experience is with provincially-regulated Portfolio Manager (PM), Investment Fund Manager (IFM) and Exempt Market Dealer (EMD) firms.
  • Zlc Wealth Inc.
    Chief Compliance Officer
    Zlc Wealth Inc. Apr 2015 - Apr 2017
    Vancouver, Bc
    Responsible for all compliance-related matters for ZLC Wealth, a Portfolio Manager and Exempt Market Dealer.
    View
  • Nicola Wealth Management
    Director, Compliance
    Nicola Wealth Management Jan 2011 - Apr 2015
    Vancouver, Bc
    Reporting to the CCO, was responsible for the compliance-related matters of this Portfolio Manager, Exempt Market Dealer and Investment Fund Manager firm.
    View
  • Montridge Investment Counsel
    Portfolio Manager & Chief Compliance Officer
    Montridge Investment Counsel May 2007 - Oct 2010
    Vancouver, Canada Area
    Responsible for client portfolio design and trading as well as all compliance-related matters for this Portfolio Manager firm.
  • Rbc Dominion Securities
    Associate Investment Advisor
    Rbc Dominion Securities Jun 2006 - Apr 2007
    Vancouver, Canada Area
    Together with the lead advisor, serviced clients and selected investments for their portfolios.
    View
  • Credential Securities
    Client Relations Officer
    Credential Securities Apr 2004 - Jun 2006
    Vancouver, Canada Area
    Acted as a resource to the firm's IIROC-licensed advisors on a broad range of topics including firm procedures, financial products, compliance, software, and transaction processing.
  • Balanced Planning ( Became Cartier Partners/Dundee Private Investors)
    Fund Portfolio Analyst
    Balanced Planning ( Became Cartier Partners/Dundee Private Investors) Sep 2000 - Jun 2003
    Vancouver, Canada Area
    At Portfolios by Design, created and monitored mutual fund portfolios for individual clients. MFDA licensed.

Andrea Lee Education Details

  • Sauder School Of Business (Ubc)
    Sauder School Of Business (Ubc)
    Finance

Frequently Asked Questions about Andrea Lee

What company does Andrea Lee work for?

Andrea Lee works for Independent Consultant (Investment Industry)

What is Andrea Lee's role at the current company?

Andrea Lee's current role is Compliance Consultant for Investment Firms.

What schools did Andrea Lee attend?

Andrea Lee attended Sauder School Of Business (Ubc).

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