Rhys Walker Email & Phone Number

Toronto, On, Ca

Toronto, On, Ca

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Toronto, Canada Area

- Lead forensic accountant on complex projects requiring project management, interviewing staff and clients, data aggregation, analysis and interpretation of large volumes of transaction data - Projects included investigation of complaints in Canada and cross-border of inappropriate financial dealing, front running activity, collusion between traders and 3rd parties to manipulate pricing, manipulation of internal reporting, theft, kiting, and investment fraud- Provide forensic accounting support to investigations, regulatory inquiries, recovery and litigation efforts with emphasis on a high standard of documentation- Advise executive and senior management of fraud, money laundering and regulatory issues, significant control weaknesses or deficiencies and other items identified during investigations- Act as a liaison between the Financial Crimes Group and other areas of the bank including the Capital Markets, Wealth Management, Investor & Treasury Services, legal counsel and compliance groups to facilitate communications on projects / investigations by building partnerships - Act as a resource for the Financial Crimes Group on issues and terminology related to the securities industry, including the development of training and reference materials

Toronto, Canada Area

The Forensic Auditor, Trustee Services, is responsible for the timely, consistent exploration and resolution of a wide range of often highly-complex issues that arise from formal Trusteeships, informal financial arrangements with licensees and Information Services provided to licensee Estate Trustees, family members, caregivers and successor practitioners. This includes comprehensive review of licensee books and records in a manner consistent with forensic accounting practices, and identifying and reporting on potential trust shortfalls and other breaches by licensees of the Law Society’s regulations regarding the maintenance of proper accounting records.

Toronto, Canada Area

- Lead meetings with the senior management of MFDA dealers to manage dealer expectations, discuss audit progress, present results and recommend solutions to address issues identified- Develop and maintain productive working relationships with MFDA dealers- Conduct, lead and report on team-based audits of MFDA dealers’ regulatory financial reports and operations to identify were violations of the regulatory rules and securities law- Interview MFDA dealers’ owners and officers, senior management and sales persons to gain an understanding of Member firms’ accounting, business and trading operations- Assist in the modification of audit programs to enhance the efficiency and effectiveness- Review external auditor working paper files of MFDA dealers for compliance with regulatory rules- Lead formal and informal training sessions on fraud related issues for senior management and staff

Toronto, Canada Area

- Work with MFDA Investor Protection Corporation (MFDA IPC) senior management to develop a plan to identify and value client losses resulting from the bankruptcy and alleged “Ponzi” fraud of an MFDA dealer utilizing the dealer’s trading, accounting, bank records and staff interviews - Analyze client claims and other supporting information in order to quantify client losses- Investigate alleged fraud by searching hard and soft copy accounting, banking information, email and other business records, analyze and trace cash flows and substantiate security transactions- Document procedures and their results in the identification at-risk clients, review of client claims, calculation of client losses, client appeals, payments to clients and the tracing of cash flows culminating in timely, concise written reports to senior management, and the board of directors- Prepare written analysis for the use of MFDA IPC legal counsel in the client appeal process- Provide litigation support to MFDA enforcement staff investigating the actions of the controlling minds of the bankrupt MFDA dealer and the primary individuals engaged in the alleged fraud- Liaise with and advise senior management, legal counsel, MFDA enforcement staff, clients, police, forensic accountants, and trustees to share relevant and / or urgent information

Toronto, Canada Area

- Managed an accounting and back-office staff of seven employees- Modified U.S. based commodity and foreign exchange margining and reporting systems to meet Canadian regulatory requirements by working with internal and external IT service providers- Liaised with regulatory bodies, external auditors, banks and other counterparties- Prepared monthly and annual internal financial statements and regulatory financial reports - Prepared and reviewed monthly accounting schedules

Toronto, Canada Area

- Lead meetings with the senior management of Investment Industry Regulatory Organization of Canada (IIROC) dealers to manage dealer expectations, discuss audit progress, present results and recommend solutions to address issues identified - Developed and maintained productive working relationships with IIROC dealersConducted, lead and reported on team-based audits of IIROC dealers’ regulatory financial reports and operations to identify violations of the regulatory rules and securities law- Interviewed IIROC dealers’ owners and officers, senior management and staff to gain an understanding of Member firms’ accounting, trading and back office operations- Reviewed external auditor working paper files of IIROC dealers for compliance with regulatory rules- Assisted in the modification of an electronic working papers system to meet the needs of IIROC and the training of staff in the new system

Toronto, Canada Area

- Planned, lead and performed audit, review and compilation engagements in an team environment- Prepared and analyzed financial statements and note disclosures

Diploma In Investigative And Forensic Accounting, Forensic Accounting, Dean'S List

The Diploma in Investigative & Forensic Accounting (DIFA) program is designed to provide a graduate professional accountant.

Education record

Completed financial industry courses in the following areas: - Financial Markets Risk Management - Chief Financial Officers Qualifying.

Bachelor Of Accounting

Cybersecurity Fundamentals For Finance And Accounting Professionals Certificate