Lisa Cooper

Lisa Cooper Email and Phone Number

Senior Compliance Officer, Securities Canadian Medical Association Investco @
Lisa Cooper's Location
Greater Toronto Area, Canada, Canada, Canada
Lisa Cooper's Contact Details
About Lisa Cooper

Lisa Cooper is a Senior Compliance Officer, Securities Canadian Medical Association Investco at Canadian Medical Association Investco. She possess expertise in risk management, investment banking, corporate governance, securities, investments and 14 more skills.

Lisa Cooper's Current Company Details
Canadian Medical Association Investco

Canadian Medical Association Investco

Senior Compliance Officer, Securities Canadian Medical Association Investco
Lisa Cooper Work Experience Details
  • Canadian Medical Association Investco
    Senior Compliance Officer, Securities
    Canadian Medical Association Investco Sep 2019 - Present
  • Canadian Medical Association Investco
    Senior Compliance Officer, Securities
    Canadian Medical Association Investco Sep 2019 - Present
  • Huobi Canada Inc. - Company Closed
    Chief Compliance Officer
    Huobi Canada Inc. - Company Closed Aug 2018 - Mar 2019
  • Aip Asset Management Inc.
    Chief Compliance Officer
    Aip Asset Management Inc. Jun 2017 - Aug 2018
  • Shorcan Brokers Limited
    Senior Compliance
    Shorcan Brokers Limited Mar 2014 - Jun 2017
  • Blumont Capital/Arrow Capital Management
    Senior Compliance
    Blumont Capital/Arrow Capital Management Jun 2013 - Mar 2014
    View
  • Regulated Securities Dealers
    Management Consultant
    Regulated Securities Dealers Jan 2011 - Jun 2013
    CONSULTANT 2013 to PresentRegulatory ComplianceContracted by regulated securities dealers to perform executive level compliance functions including audit reviews and implementation of compliance infrastructure, supervision systems, reporting and governance , account opening and documentation, compliance, policies and procedures, continuous marketing, trade desk and sales supervision and procedures, anti-money laundering procedures reviews and risk assessments, client relationship model enforcement, investment banking supervision, conflict of interest and outside business activities procedures and supervision, NRD registration, advisor and anti-money laundering training, complaint and litigation handling, regulatory reporting and liaising with regulators. Clients include investment dealers (suitability exempt, wealth management, institutional), exempt market, portfolio managers, investment fund managers and mutual fund dealers.
  • Casimir Capital Ltd
    Chief Compliance Officer
    Casimir Capital Ltd Mar 2010 - Dec 2010
    Chief Compliance Officer, Director for Investment Bank and Dealer, member Investment Industry Regulatory Organization of Canada (IIROC). Responsible for development, execution, management and maintenance of firm Policies, Procedures, Internal Controls and Business Continuity.Registered Firm Supervisor handling supervision and reporting for Trading, Investment Banking, Corporate Governance, Regulatory Reporting Anti Money Laundering and Privacy Officer.
  • Jacob Securities Inc.
    Chief Compliance Officer
    Jacob Securities Inc. Jun 2009 - Feb 2010
    Toronto, Ontario, Ca
    View
  • Cantor Fitzgerald Canada Corporation
    Vice President, Compliance And Operations
    Cantor Fitzgerald Canada Corporation Nov 2008 - Feb 2009
  • Toronto Stock Exchange
    Manager, Market Development, Derivative Markets
    Toronto Stock Exchange Sep 1997 - Jun 1999
    Toronto, On, Ontario, Ca
    View

Lisa Cooper Skills

Risk Management Investment Banking Corporate Governance Securities Investments Regulatory Compliance Governance Mutual Funds Wealth Management Internal Controls Risk Assessment Equities Capital Markets Management Aml Auditing Financial Services Trading Portfolio Management

Lisa Cooper Education Details

  • Henley Business School
    Henley Business School
    Management
  • Western University
    Western University
    Ba

Frequently Asked Questions about Lisa Cooper

What company does Lisa Cooper work for?

Lisa Cooper works for Canadian Medical Association Investco

What is Lisa Cooper's role at the current company?

Lisa Cooper's current role is Senior Compliance Officer, Securities Canadian Medical Association Investco.

What is Lisa Cooper's email address?

Lisa Cooper's email address is lc****@****can.com

What schools did Lisa Cooper attend?

Lisa Cooper attended Henley Business School, Western University.

What skills is Lisa Cooper known for?

Lisa Cooper has skills like Risk Management, Investment Banking, Corporate Governance, Securities, Investments, Regulatory Compliance, Governance, Mutual Funds, Wealth Management, Internal Controls, Risk Assessment, Equities.

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