Heather Lamont Email & Phone Number

Canada

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Leads a team responsible for providing independent compliance oversight, guidance and support to the Client Solutions (CS) business for Sun Life Financial Canada. Client Solutions encompasses distinct market segments that span individual and group products, distributed through the call centre representatives and through online channels.

Toronto, Canada Area

- Conducted an analysis of new legislation to promote the Fair Treatment of Clients in related financial services industries, highlighting the potential impact to Sun Life Financial Canada business units. - Assisted the Individual and Wealth Management Compliance team with a review of current processes with recommended changes to segregated fund complaint handling procedures and regulatory reporting.

Toronto, Canada

Responsible for managing RBC’s enterprise conflicts of interest policies including information barriers, personal trading and outside activities policies and procedures, to ensure regulatory and reputational risks were appropriately managed.

Toronto, Canada

Responsible for updates to, and the administration of the RBC enterprise conflicts of interest policies including information barriers, personal trading and outside activities policies and procedures, coordinated with Business Unit Compliance teams globally to ensure adherence to the policies.

Toronto, Canada Area

Responsible for providing overall strategic direction, leadership and oversight for compliance and regulatory matters for RBC Wealth Management Financial Services (RBC WM FS), the insurance subsidiary of RBC Dominion Securities Inc. Responsible for the design, development and on-going maintenance of all internal compliance policies and guides required for RBC WM FS and RBC Wealth Management Services (Financial Planning Team).Primary contact and advisor to RBC WM FS senior management, serving as subject matter expert within RBC DS for insurance and financial planning matters

Toronto, Canada Area

Provided compliance support to RBC Dominion Securities Inc. business units for new initiatives and on-going advisory support. Communicated regulatory updates to business leaders, developed and implemented new policies for advisors, supervisors, and members of the compliance advisor team.

Toronto, Canada Area

Responsible for the promotion of segregated funds to advisors through web casts, creation of information articles, branch presentations, and the participation in advisor training programs.Subject matter expert for all RBC Dominion Securities' functional units for segregated fund related matters.