My practice focuses on securities law, compliance and regulatory issues for participants in the financial services industry. This includes advice in the following areas: registration; supervision; policy creation combined with operational implementation; compliance training; anti-money laundering; complaint analysis and resolution; audit preparation, analysis and resolution; and litigation related support.

Four Eyes Financial is a wealth technology company providing independent investment firms with a platform to future proof their business. Today’s technology ecosystem is changing and will continue to change at a rapid pace. Four Eyes enables firms to release enhanced technology tools to improve the client, advisor and firm experience ahead of their competition.We start by creating a usable pool of client and investment data that is cleansed, structured and liberated to move across the client journey. We focus on increasing the wow factor and decreasing the cost factor of meeting client and regulatory demands. Our fully customizable API enabled platform, automates key workflows around know your client, know your product and suitability, with inviting dashboards showing predictive insights from four different views: investor track investment goals, advisors track client status, firms track compliance, regulators are provided a window into key processes as requested.Four Eyes Financial clients spend less money and time on customization and integration and more time leveraging the benefits of tomorrow’s technology, today.

CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces.CIRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians’ trust in financial regulation and the people managing their investments.

As a private contractor I support the Content Development Team at the Canadian Securities Institute (CSI), a Moody's Analytics company, through the creation and editing of compliance courses and solutions which support CSI's Investment Industry Regulatory Organization of Canada's compliance product suite. CSI is Canada's leading provider of professional credentials and compliance solutions for the financial services industry.

Independent, public company director and member of the Board of Directors and Chair of the Audit Committee and the Governance and Compensation Committee.

Responsible for the transactional compliance supervision of all retail investment advisors in Canada located in jurisdictions outside of Quebec for National Bank Financial (a dealer member of the Investment Industry Regulatory Organization of Canada) with offices across Canada.

Chief Compliance Officer and Chief Anti-Money Laundering Officer responsible for the implementation, assessment and monitoring of compliance policy and function for Wellington West Financial Services (a dealer member of the Mutual Fund Dealers Association of Canada) with offices across Canada.

Chief Compliance Officer and Chief Anti-Money Laundering Officer responsible for the implementation, assessment and monitoring of compliance policy and function for Wellington West Capital (a dealer member of the Investment Industry Regulatory Organization of Canada) with offices across Canada.

Provided legal services to the Wellington West family of companies relating to all aspects of securities law with a specific focus on the regulation of: (1) dealer members of the Investment Industry Regulatory Organization of Canada; (2) dealer members of the Mutual Fund Dealers Association of Canada; and portfolio managers registered under provincial securities legislation.

Provided legal services to client departments relating to commercial law (documentation of complex legal agreements including swaps and derivative contracts) and securities law, with specific responsibility for the annual renewal of the simplified prospectus and annual information form for a corporate mutual fund complex.

Practiced law in the taxation law group providing legal services relating to tax aspects of commercial transactions and representing taxpayers in disputes with the Canada Revenue Agency.

Practiced law primarily in the area of tax litigation representing the Minister of National Revenue in income tax and excise tax matters appearing before the Tax Court of Canada, Federal Court of Canada and the Supreme Court of Canada.

Articling student.