Sean Thompson, Bcom, Cim® Email & Phone Number

Vancouver, Canada Area

• Perform daily and monthly trade supervision (Tier 1), including options trading, for approximately 25 branches totalling 50+ registrants.• Carry out new account approvals and account updates, including options and fee-based accounts, with a view to suitability, KYC & KYP, reasonableness, and industry regulations.• Complete marketing and client communication review and approval, ensuring CIIRO guidelines and NI 81-105 requirements are met.• Perform periodic report analysis including risk drift, concentration, 60+ client, commission, and performance review.• On-board new Financial Advisors / prospects regarding supervision structure to ensure a smooth transition from their previous firm.• Assist with US platform as Branch Manager (FINRA-registered Dealer) daily trade review, new account approvals, marketing approvals, and new account review.• Coach new supervisors on daily, monthly, and periodic duties with an eye to highlighting the most efficient processes and risk-based focus.• Created and currently maintain a Branch Manager procedures manual incorporating regulatory (CIRO) and Raymond James Ltd internal requirements and guidelines for training new Branch Managers and highlighting pockets of risk with existing Branch Managers. This manual has since become the firm’s official supervision reference document.• Authored numerous supervision policy and process documents, and advised on the supervision impact of new / updated regulatory and internal rule or guidance changes.• Presenter at conference breakout sessions to ensure consistency in compliance and supervisory processes across branches.

Vancouver, Canada Area

Tier-2 compliance supervision, including daily and monthly trade review and providing analysis & decisioning of compliance-related issues.

Vancouver, Canada Area

Responsibilities included supervision of 21 team-members responsible for compliance review of account opening documentation, including Anti Money Laundering (AML) requirements.

Vancouver, Canada Area

Supervising 15 direct reports responsible for documentation imaging and indexing to processing queues, preparation and sending to lawyers of all mortgage legal documentation, mortgage and loan information requests, and discharge of mortgage property charges

Vancouver, Canada Area

Supervising 6 direct reports, including Funds Transfer Processing, Securities Desk, Registered Plans Desk and House Account Balancing, and performed quarterly performance reviews.Member of the multi-center team responsible for instituting electronic funds transfer application.Reviewed and instituted new nationwide procedures for Pre-Authorized Payment client database.Acted as liaison for Investment Counselors managing high-value clients.Assisted with processing when needed to meet daily deadlines.

Sechelt, Bc

Provided Mutual Fund sales, advice and portfolio analysis.Decisioned credit applications and provided advice for mortgage, loan, and other credit facilities with zero bad-debt write-offs. Proactively provided customer care and up-sold RBC products by phone. Analysed clients’ overall financial picture as a means to reduce costs and maximize flexibility.