Responsible for managing and successfully executing on worldwide regulatory compliance consulting engagements across a broad array of clients in the financial services industry.• Focus on improving risk assessments, building out regulatory compliance inventory.• Creatiion of monitoring and testing programs.• Compiling and identifying business compliance controls for major financial institutions.• Review of all key regulatory compliance controls for gap analysis.•… Show more Responsible for managing and successfully executing on worldwide regulatory compliance consulting engagements across a broad array of clients in the financial services industry.• Focus on improving risk assessments, building out regulatory compliance inventory.• Creatiion of monitoring and testing programs.• Compiling and identifying business compliance controls for major financial institutions.• Review of all key regulatory compliance controls for gap analysis.• Responsible for the enhancement and maintenance of the regulatory library of obligations. Show less

Davies is a global consulting firm. Our focus is on change and we specialize in a unique blend of business and people performance for financial services. We are based in more than a dozen locations worldwide, including North America, Europe and Asia and we continue to expand at pace.I am responsible for successfully executing on regulatory compliance consulting engagements across a broad array of clients in the financial services industry. • Focus on improving risk assessments… Show more Davies is a global consulting firm. Our focus is on change and we specialize in a unique blend of business and people performance for financial services. We are based in more than a dozen locations worldwide, including North America, Europe and Asia and we continue to expand at pace.I am responsible for successfully executing on regulatory compliance consulting engagements across a broad array of clients in the financial services industry. • Focus on improving risk assessments, building out regulatory compliance inventory, monitoring and testing programs, risk assessments , identifying taxonomies/directives and compiling and identifying business compliance controls for major financial institutions. • Focus on ensuring that all key regulatory compliance controls are identified and centrally documented and that any control gaps are identified for immediate remediation.• Responsible for the enhancement and maintenance of the regulatory library of obligations to mitigate compliance risks. Show less

Team lead compliance manager who lead a team focused on building and maintaining the 2nd Line Regulatory Compliance Management Program and providing Compliance Advisory services to the Canadian Personal & Commercial Banking Business including Retail Everyday Banking and Business Banking, Retail Credit Cards, Term Investments and Mutual Funds. • Lead a team responsible for administering and managing the Enterprise Compliance Program Methodology including monitoring and testing of BMO's… Show more Team lead compliance manager who lead a team focused on building and maintaining the 2nd Line Regulatory Compliance Management Program and providing Compliance Advisory services to the Canadian Personal & Commercial Banking Business including Retail Everyday Banking and Business Banking, Retail Credit Cards, Term Investments and Mutual Funds. • Lead a team responsible for administering and managing the Enterprise Compliance Program Methodology including monitoring and testing of BMO's compliance controls and effectively challenging the first line of compliance under the OSFI E-13 framework.• Developed and delivered appropriate training to the Business unit compliance teams to drive consistency in monitoring and testing activities to align with a focus on FCAC sales practices requirements.• Consulted on the design and efficacy of key controls to mitigate regulatory risk.• Led team administering the Compliance Issues Management process for the Personal Banking lines of business by effectively challenging compliance issues identified and validating remediation plans. • Actively monitored regulatory developments and regulatory breaches and providedremediation options to help minimize reputational risk.• Advised and provided regulatory perspective on the appropriateness of BMO televised commercials along with marketing materials and all digital content on BMO.com.• Consulted on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives. Show less

Compliance Manager in the Private Bank whose duties included the administration of the enterprise compliance program across BMO Wealth Management and overseeing the assessment process of Wealth’s compliance with OSFI E-13 Regulatory Compliance Management. • Provided subject matter expertise on both the Estate & Corporate Trust business including Registered Products and the Income Tax Act and Pension Regulations.• Administered the Enterprise Compliance Program Methodology… Show more Compliance Manager in the Private Bank whose duties included the administration of the enterprise compliance program across BMO Wealth Management and overseeing the assessment process of Wealth’s compliance with OSFI E-13 Regulatory Compliance Management. • Provided subject matter expertise on both the Estate & Corporate Trust business including Registered Products and the Income Tax Act and Pension Regulations.• Administered the Enterprise Compliance Program Methodology including monitoring & testing of BMO's compliance controls and effectively challenging the first line of compliance under the OSFI E-13 framework.• Specific responsibilities included conducting regulatory risk assessments, building regulatory inventory, controls mapping, 2nd line testing and validation, issues management and action plans, as well as the design and completion of monitoring and testing plans and mapping of obligations to regulatory requirements.• Conducted audits and account reviews resulting in the identification and tracking of risk incidents and control test gaps.• Created metrix, trackers and other reporting tools to track progress of compliance projects and report any compliance gaps to the CCO of Private Bank Compliance.• Provided regulatory advice and independent challenge to other areas of the Private Bank.• Planned, prepared and carried out risk identification and assessment workshops within the various lines of business to identify and prioritize compliance risks and assess the effectiveness of compliance controls.• Executed appropriate testing and analyze key performance indicators to ensure requirements of the policies and programs are maintained at a level commensurate with regulatory expectations. • Supported root cause analysis in response to material control failures in line(s) of business. Show less