Daniel Bowering Email & Phone Number

Toronto, On, Ca

Toronto, Ontario, Canada

Vice President and Chief Compliance Officer for Aviso Financial Inc., running the compliance function for the firm.

Oakville, Ontario, Canada

With approximately 30 years experience in the Canadian Securities Industry, I started up a securities compliance consulting firm with a wealth management compliance focus in the Canadian Securities industry in the fall of 2020. Areas of focus are policy and procedure, audit support, complaints and investigations, expert witness, anti-money laundering, training, new dealer registration and support, general compliance and regulatory advice, know your product due diligence, and other regulatory… Show more With approximately 30 years experience in the Canadian Securities Industry, I started up a securities compliance consulting firm with a wealth management compliance focus in the Canadian Securities industry in the fall of 2020. Areas of focus are policy and procedure, audit support, complaints and investigations, expert witness, anti-money laundering, training, new dealer registration and support, general compliance and regulatory advice, know your product due diligence, and other regulatory areas requiring support. For more information, please see my website. Show less

Toronto, Canada Area

Currently teaching a course in Anti Money Laundering, and Law and Governance for the fall term of 2020.In 2015: • Developed and taught an introductory course on Anti-Money Laundering for the business program; Since 2013: • Guest lecturer at the Seneca College School of Accounting and Financial Services - Risk Management and Market Conduct Course, Anti-Money Laundering Course, and several other courses.

Toronto, Ontario, Canada

333 Bay St. Toronto

Managing the compliance function for an Investment Banking and Retail Investment Dealer.

Toronto, Canada Area

• Responsible for compliance function of the firm and overall strategic regulatory direction of the firm. Registered as Chief Compliance Officer (“CCO”), Registered Representative Options (“RRO”) and Supervisor with Options. Registered as CCO with Investment Industry Regulatory Organization of Canada (“IIROC”), Financial Industry Regulatory Authority (“FINRA”), and the Securities Exchange Commission (“SEC”);• Responsibly for oversight for both Anti-Money Laundering (“AML”) and Privacy;… Show more • Responsible for compliance function of the firm and overall strategic regulatory direction of the firm. Registered as Chief Compliance Officer (“CCO”), Registered Representative Options (“RRO”) and Supervisor with Options. Registered as CCO with Investment Industry Regulatory Organization of Canada (“IIROC”), Financial Industry Regulatory Authority (“FINRA”), and the Securities Exchange Commission (“SEC”);• Responsibly for oversight for both Anti-Money Laundering (“AML”) and Privacy; • Anti-Money Laundering Officer (“AMLO”) for all businesses- Canadian and United States (“US”); Privacy Officer; • Member of Executive Committee, new product committee, credit committee, risk committee, security risk ratings committee and new names committee.• Managed surveillance program, audits, regulatory inquiries, complaints, investigation, policies and procedures, and various other duties. Show less

Toronto, Canada Area

• Responsible for the compliance program for both the Canadian (IIROC) and US (FINRA) retail broker/dealers; Registered asCCO, Trading Officer, RRO, Options supervisor/supervisor for Macquarie Private Wealth Inc. (IIROC dealer) / Registered as CCO for Macquarie Private Wealth Corp. (FINRA dealer)• AMLO for both Canadian and US firms; Privacy Officer-both dealers; • Report into various committees including: Board of Directors (quarterly reports), Executive Committee, Risk Committee… Show more • Responsible for the compliance program for both the Canadian (IIROC) and US (FINRA) retail broker/dealers; Registered asCCO, Trading Officer, RRO, Options supervisor/supervisor for Macquarie Private Wealth Inc. (IIROC dealer) / Registered as CCO for Macquarie Private Wealth Corp. (FINRA dealer)• AMLO for both Canadian and US firms; Privacy Officer-both dealers; • Report into various committees including: Board of Directors (quarterly reports), Executive Committee, Risk Committee, Credit Committee, New Names Committee, Complaints Committee, New Product Approval Committee, Banking and Financial Services (“BFS”) Risk Council. • Streamlined reporting process, Created Corporate Governance framework for firm, Updated AML policies and procedures; managed numerous regulatory and internal audits. Show less

Burlington, Ontario

• Six-month engagement as a Consultant to deliver Compliance Consulting services regarding IIROC and Mutual Fund Dealers Association (“MFDA”) dealerships, created numerous policies and procedures, managed IIROC trade desk audit including remediation of any findings and response to IIROC.

Toronto, Canada Area

Registered as CCO, Trading Officer, RRO, Designated Registered Options Principal (“DROP”), Alternate Designated Person (“ADP”), and Branch Manager;• CCO for Blackmont Capital Inc., a full service and integrated securities dealer, IIROC member firm. Responsible for the compliance program for both the Retail and Capital Markets business. Managed between 17-20 direct reports, including the Credit Department; member of the Credit Committee;• Member of the Blackmont Executive Committee;•… Show more Registered as CCO, Trading Officer, RRO, Designated Registered Options Principal (“DROP”), Alternate Designated Person (“ADP”), and Branch Manager;• CCO for Blackmont Capital Inc., a full service and integrated securities dealer, IIROC member firm. Responsible for the compliance program for both the Retail and Capital Markets business. Managed between 17-20 direct reports, including the Credit Department; member of the Credit Committee;• Member of the Blackmont Executive Committee;• Restructured compliance infrastructure for firm -revamped Internal Audit Program, reorganized duties and responsibilities, reduced FTE while creating a more organized and responsive compliance department, created more meaningful reporting and streamlined internal processes, reorganized complaint handling process. • Oversight of Asset Management Division (KBSH Capital Management and Rockwater Asset Management) • Directed compliance policy and procedures development, Updated AML policies and procedures, coached and provided guidance to staff and internal business representatives, drafted and presented reports to the Blackmont Board of Directors and Audit Committee of the CI Financial Income Fund, member of product review committee and new names (due diligence) committee. Show less

Burlington, Ontario

• In charge of Head Office Compliance Department for the above three companies which are respectively IIROC (formerly Investment Dealers Association “IDA” and MFDA member firms);• Responsible for the day to day operations of the head office compliance department with approximately 13 direct reports, and another 10 indirect reports, Alternate Registered Options Principal (“AROP”) responsibilities for AIC PPG, Managed the client complaints process for complaints of a regulatory or legal… Show more • In charge of Head Office Compliance Department for the above three companies which are respectively IIROC (formerly Investment Dealers Association “IDA” and MFDA member firms);• Responsible for the day to day operations of the head office compliance department with approximately 13 direct reports, and another 10 indirect reports, Alternate Registered Options Principal (“AROP”) responsibilities for AIC PPG, Managed the client complaints process for complaints of a regulatory or legal nature, Responsible for audit program for both retail branches and trading desk, Identify potential risks and address with senior management, Implemented exception reporting and cross provincial registration account clean up, Co-wrote segments of the AIC PPG policies and procedures and compliance manual; implementation of new product launches, Coaching staff on various compliance related issues, updated Compliance Manual and AML and Privacy policies and procedures, developed extensive credit policy; member of credit risk committee, Developed trade desk supervision manual as well as policy and procedure and audit programme. Show less

Toronto

• Daily and monthly trade surveillance, AROP (Alternate Registered Options Principal) responsibilities, Investigating and responding to client complaints, identify potential risk/exposure items to the firm and communicate to the appropriate parties and provide solutions, participate in special projects, respond to inquiries and provide knowledgeable, consultative support on products and services, conduct audits of branches and trading desks.

Toronto, Canada Area

• Daily and monthly trade surveillance, Investigating and responding to client complaints, identify potential risk/exposure items to the firm and communicate to the appropriate parties and provide solutions, participate in special projects, respond to inquiries and provide knowledgeable, consultative support on products and services, conduct audits of branches and trading desks.

Toronto, Canada Area

Oakville

Toronto, Canada Area

Created client portfolio's based on asset alloaction models.