Scott Cooke Email & Phone Number

Toronto, Ontario, Canada

- Manager of Sales Compliance team- Enforcement of National Instrument 81-105 in relation to mutual fund sponsored events, cooperative marketing, and other dealer promotional events- Oversight if business entertainment and workplace gifts (BEWG) policy

Toronto, Ontario, Canada

• Monitoring and reporting on various compliance matters for senior leadership
• Creation and maintenance of various policies and programs
• Provide day to day support and guidance to internal business partners on various matters to ensure regulatory and policy compliance
• Management and participation in various regulatory audits and reviews
• Assist in navigating high risk or regulatory complaints received by the company, ensuring complaint management meets both federal and provincial regulatory requirements
• Create, lead, and participate in various projects across the company to improve monitoring, reporting, controls, and processes

Toronto, Ontario, Canada

• Monthly monitoring and reporting of NI 81-102 related matters in respect to mutual funds processing and operations, reporting on any settlement and trust account variances or incidents, and evaluation/reporting of any.
• Represent Compliance in various business projects and working groups, providing approvals and guidance on projects from a regulatory and policy point of view.
• Provide solutions and guidance on escalated matters to the Compliance Department on policies, regulatory matters, and high-risk cases.
• Review and analysis of Fidelity policies, ensuring Fidelity adapts to the changing regulatory landscape.
• Review and analysis of Fidelity Compliance programs, working with internal business partners to improve processes to better serve our clients while maintaining appropriate regulatory monitoring/oversight.
• Working with senior business leaders to resolve issues surrounding high net worth clients, and subsequent fund impacts.

Toronto, Ontario, Canada

• Monthly monitoring and reporting of NI 81-102 related matters in respect to mutual funds processing and operations, reporting on any settlement and trust account variances or incidents
• Daily monitoring of Fidelity in-house family plan accounts for employees and their family members, ensuring trade processing matches investors KYC and risk tolerance
• Provide solutions and guidance on escalated matters to the compliance department on policies, regulatory matters, and high-risk cases
• Review and analysis of Fidelity policies, updating materials, and preparation of oversight committee presentation decks

Toronto, Canada Area

• Leader of two teams within processing department of senior staff – Operations Processing Specialist Team and Transfer Agency Processing (TAP) HUB.
• Operations Processing Specialist Team is responsible for specialized trade requests, net settlement reconciliation between fund companies, FundServ trades, redemption cheque reconciliation, bankruptcies, and CRA.
• TAP HUB Team is composed of most experienced processing staff, supporting client services department with escalated issues, training, mentoring, and identification of knowledge gaps within teams and serves as pipeline.
• Development of new TAP HUB team, manager since its inception – setting expectations and targets for team, building processes and reports, and working with internal clients to ensure service delivered meets needs
• Management of ‘Voice of the Customer’ cases within Fidelity, making direct contact with advisors and clients to discuss and provide feedback on compliments, complaints, and ideas submitted to improve our brand
• Creation and implementation of enhancements to improve system functionality, providing our IT and project development teams requirements, coordination of user testing with processors, and change management for.

Toronto, Canada Area

• Team of senior staff to handle specialized trades and guidance for department
• Responsible for wire purchase settlements, working with multiple teams and dealer companies to resolve issues and ensure trades are settled on time and are in good order
• Handle FundServ settlement functions for Fidelity
• Processing of CRA requirement to pay notices and bankruptcy requests
• Handling of department wide reports for stuck trades, external redemptions, and trade errors
• Daily review of errors by processing representatives and reporting them to team leads for review

Toronto, Ontario, Canada

• Added responsibility in position in processing department outside daily processing responsibilities
• Assist in training/mentoring for all new contract and full time employees starting in the department
• Key role in development and review of training and processing job aids with 3rd party firm, used by all employees in both processing and leaning and development departments

Toronto, Canada Area

• Receiving, reviewing, and processing mutual fund trades for diverse client base across Canada
• Timely and accurate handling of purchase, redemption, and exchange requests for clients
• Creation and maintenance of various account types such as cash, corporate, RRSP, and TFSA

Mississauga, Ontario

- Providing TD customers with everyday banking services- Providing customers with banking advice, selling them suitable products- Opening and closing the bank, maintaining cash holding levels and reducing risk

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