Key responsibilities include visiting market participants registered in Ontario including investment fund managers, portfolio managers and exempt market dealers to perform on-site operational reviews and assess the firm’s compliance with securities law.• Performed on-site reviews of investment fund managers, portfolio managers and exempt market dealers, which includes assessing risk management practices, investment management practices, valuation policies, oversight of service providers, controls over key functions including custody, fund accounting, sales practices, disclosure documents, trading and client information collection• A strong technical understanding of the asset management industry obtained by holding discussions with key personnel at the firms, including the CEO, CCO, portfolio managers and traders. • Responsible for organizing and often speaking at the quarterly Registrant Outreach Sessions, attended by investment fund managers, portfolio managers and exempt market dealers. • Responsible for finding innovative solutions to address unique issues identified during compliance reviews • Worked with multiple branches within the organization to determine the next regulatory steps to be taken for problematic firms, including sending warning letters, imposing terms and conditions, and working with the enforcement branch• Acted as a formal and informal mentor to the summer interns and new team members, including answering their questions and guiding them through the compliance review process

• A top-performing manager with 5 years of progressive experience in a big 4 multi-national audit firm specializing in the financial services industry• Diverse financial audit experiences with organizations in financial service and other industries reporting under IFRS, US GAAP, ASPE and pre-changeover Canadian GAAP• Demonstrated ability to lead and manage multiple concurrent engagements with a keen focus on producing high-quality work to deliver exceptional services to clients• Accomplished top 10% performance rating; achieved both Gold and Silver Recognition Awards for outstanding performance• Prepared and led internal and external meetings involving client’s top management and EY executives• Reviewed complex accounting issues related to IFRS, focusing on hedge accounting and stock options• Acted as the go-to person for resolving complex accounting issues• Acted as a formal and informal mentor to 8 senior and staff accountants, providing them feedback, counselling and helping them find opportunities to develop their careers within the firm