Anna Sidiropoulos Email & Phone Number

Toronto

• Responsible for the design, implementation, and oversight of (i) the Canadian side of a joint cross border US Investment Advisers Act of 1940 compliance program, (ii) the Manulife Canadian General Account compliance program, and (iii) registered and unregistered Manulife Investment Management Canadian-managed products. • Managed high-profile global compliance projects and surveys involving cross-divisional compliance representatives as well as Information Systems, Legal, Internal Audit, Risk Management and/or Human Resources. Accountabilities included identifying key stakeholders, engaging, and motivating appropriate project resources, establishing project plans and timelines, identifying roadblocks, and negotiating solutions as well as reporting on the project status to appropriate executive committees.• Demonstrated strong skills in interpreting regulatory documents and understanding the impact of changing regulations and the ability to expertly and proactively address and apply regulatory knowledge to meet business needs. • Developed strong relationships and collaborated with Front Office, Audit, Operational Risk and other cross-functional groups to successfully implement projects and various regulatory change initiatives (SEC, OSC, FINTRAC, OSFI, FTC, ESG).

150 King St. W. Toronto, Canada

Accountable for leading the Portfolio Reconciliation and Regulatory Reporting teams within Operations Control.Responsible for assessing and implementing OTC derivatives trade reporting and portfolio reconciliation requirements for GWO as mandated by various regulatory regimes (globally) and ensuring that key business processes are effective and meet regulatory obligations (e.g. DFA/CFTC, CTR, MAS, HKMA, ASIC, MIFID 2, EMIR, IM,VM).Responsible for driving change management initiatives to ensure that internal processes and controls are effective and that appropriate metrics are developed and communicated to senior stakeholders.Drove a utility focused culture throughout GWO leveraging broader Bank relationships, associated risk management/compliance groups.Accountable for excellence in overall governance and oversight of GWO’s regulatory trade andtransaction reporting and successfully implementing best practices globally.

95 Wellington St. West Toronto, On

•As the business owner for the Thomson Reuters Accelus Compliance Manager ('TR ACM') enterprise Governance Risk and Compliance platform, responsibilities included managing sr. stakeholder and TR relationships to ensure the successful implementation of the ACM tool within TD Compliance and adherence to regulatory requirements. This included project plan development and execution, issue escalation and management, chairing operating group and providing thought leadership to sr management. •Successfully managed the day-to-day operation of TR ACM implementation by providing business representation and "hands-on" direction to TR, the PMO, TD technology partners, and senior BUC/GAML stakeholders. •Provided direction, analysis, guidance and design solutions to regulatory compliance issues •Conducted introductory training sessions to large groups (globally), and provided ongoing training and support to BUC/GAML stakeholders to facilitate successful adoption of the ACM tool. •Developed and maintained Global Compliance and Governance standards, procedures and templates to ensure alignment with regulatory compliance requirements, including risk rating of regulations, management of Issues, and implementation of Controls. •Strong experience understanding and analyzing the regulatory requirements applicable to TD’s businesses, products and activities globally and successfully managing the relationship with TR to ensure business requirements were successfully met by the ACM tool. •Demonstrated knowledge of relevant Canadian regulations as it applies to the financial services sector (i.e. OSFI, IIROC and the MFDA).•Provided leadership and guidance to senior BUC/GAML stakeholders by organizing and chairing weekly regulatory change management meetings to ensure alignment between ACM deliverables and compliance requirements. •Developed and managed a team of 2 Sr. Compliance Officers and 1 Manager.•Served as the primary resource during independent reviews completed by Audit.

Toronto, Canada Area

• Provided compliance advice and project management support to senior compliance management of various securities registrants/business units of RBC, including , RBC DS, RBC DI, PHN IF•Occupied a key role in the development and implementation of policies for various business units of RBC that were necessitated as a result of various regulatory initiatives within the industry, including NI 31-103 (Registration Reform).•Responsible for summarizing and communicating all regulatory news published by IIROC and CSA to the various securities registrants of RBC.•Participated in both internal and industry working groups to consider regulatory initiatives in respect of regulatory changes. Internal working groups were typically compromised of senior head office compliance staff of various business units, and members of the RBC Law group. •Responsible for coordinating comments from various RBC registrants, drafting comment letters, and making recommendations with respect to proposed comments for regulators (including IIROC, CSA, IIAC).•Prepared policy analyses and research projects for various securities registrants of RBC (i.e. RBC DS, RBC DI, PHN IF), and outlined the feasibility and impact of policy options resulting from new regulatory initiatives.•Carried out gap analyses of business unit policies upon the introduction of new regulatory rules and acted as a resource for business unit compliance in amending firm policies, and account documentation (including drafting and implementing policy recommendations and client agreements).•Managed cross platform projects and compliance initiatives ensuring a consistent approach to policies and procedures across RBC securities registrants.•Worked closely with the RBC Law Group to assess industry laws and led head office initiatives to ensure RBC business units met legal and regulatory obligations.•Responsible for the preparation of monthly reports for CCOs.

Responsible for the head office oversight of securities and financial planning activities of multiple distribution channels within Royal Mutual Funds Inc ('RMFI'), ensuring compliance with securities regulations.Primary head office contact/liaison for provincial securities commissions and Mutual Fund Dealers Association ('MFDA'). Responsibilities included overseeing the process for responding to regulatory investigations/inquiries, researching regulatory investigations and applying judgment in preparing appropriate responses.Conducted research and analysis on existing regulations and regulatory proposals and provided input and recommendations to the executive team regarding policy and procedure development and risk management.Monitored and assessed industry laws and led head office initiatives related to regulatory policy analysis to ensure RMFI met its legal and regulatory obligations and appropriately managed risk in the course of operating its business.Developed, implemented and maintained head office policies, internal audit programs (IAS and MICR) and salesperson policy manuals to ensure compliance with industry requirements and effective risk management within the firm. Represented RMFI within RBC acting as the subject matter expert to provide guidance and advice on regulatory and compliance issues during the launch of new products, services and the development of new business strategies.Successfully collaborated with various business leaders within RBC to ensure policy and procedure development, risk management and strategic planning, thereby achieving common business objectives.Provided leadership and support to implement significant improvements following regulatory examinations.Provided head office leadership and helped to develop a team of Regional Compliance Officers by providing guidance on policies and procedures and ongoing coaching on various regulatory matters.

Bachelor, Commerce And Administrative Studies

Partners, Directors And Officers Course

Traders Training Course, Canadian Securities Course