Samuel Dorman Email & Phone Number

Toronto, Ontario, Ca

• Provide advisory coverage and support to the business and supporting functional groups regarding the interpretation andapplication of key regulations across the RBC enterprise and its affiliates (City National Bank)• Conduct ongoing monitoring of trading and covered fund activities for compliance with the Volcker Rule (the "Rule") across140+ desks and 500+ covered fund investments• Project manage enterprise-wide remediation issues related to prudential regulations (Reg W, Reg O, Volcker)• Support the development, documentation, and maintenance of internal controls and processes, new business initiatives,provide guidance on interpretive matters, and regulatory exams and inquiries

Zurich, Ch

• Global Markets business-aligned advisory compliance coverage for Financing services supporting the full Prime Brokerageoffering (including Securities Borrow and Lending, and Capital Introduction/Hedge Fund Consulting), Synthetic PrimeBrokerage offering (including Swaps/Delta-One), Capital Markets Business, and Futures & OTC Clearing (FCM)• Managing several long-term projects to establish, maintain, and review policies, desk procedures, and controls reasonablydesigned to comply with laws, rules, regulations, and industry standards• Tracking regulatory changes and enforcement actions to our business and participating in working groups and governanceforums to improve controls• Engaging with the business daily to challenge, educate and guide on compliance, conduct and operational risks, includingsupporting the business in maintaining high standards of culture and behavior• Working closely with colleagues in Legal, COO, and Group Compliance, Regulatory & Governance (GCRG), and outsidecounsel on regulatory changes, risk assessments (RCA, RCSA, CRA), monitoring and surveillance, testing, training, andregulatory engagement• GM Financing Stakeholder on various control calls, point of contact for 100+ individual 1LoD stakeholders• Completed IB C&ORC “New Professionals Development Program” and UBS Introduction to Programming Course (Python)

Storrs, Ct, Us

-Provided compelling guided campus tours at the University of Connecticut to prospective students and their families-Provided informational sessions on the application process and other facts and figures

Storrs, Ct, Us

-Managed a caseload of over 50+ Division I athletes-Tutored a variety of subjects on a weekly basis-Motivated and encouraged students in their coursework-Followed all NCAA guidelines and compliance measures

Storrs, Ct, Us

-Research specialist assisting Professor Michael Rubin, Ph.D. at the UConn Human Rights Institute for active research project surrounding conflict-related forced displacements-Collected and managed global IDP data over decades-Organized and analyzed data using Excel, R scripts, and Stata-Input data in GIS software for further analysis

Ingelheim Am Rhein, Rhineland-Palatinate, De

-12 weeks program in global pharmaceutical compliance-Managed projects to mitigate and analyze risk by limiting any potential liability to the company-Worked with Transparency & Disclosure team, Commercial & Operational Compliance, Clinical Systems in Clinical Operations, Global Sourcing, and Legal-Experience with Clinical Trial and Master Service Agreements, contract repository system-Presented key takeaways to business leaders at conclusion of internship-Attended companywide roundtable events

Storrs, Ct, Us

-Assisted Professor Thomas Hayes, Ph.D. in the Political Science Department on his research article "Do elected officials serve the poor on health care? Evidence from a field experiment on members of congress and state legislators"-Compiled, analyzed, and managed US Census data-Organized data in an effective way to best support the project

Bachelor Of Arts - Ba, Political Science & Healthcare Management & Insurance Studies (Honors Program)

High School Diploma, Top 10% Of Class