Jon Smith Email & Phone Number

Toronto, Canada Area

Toronto, Canada Area

• Report events to the Mutual Fund Dealer Association (MFDA) where an Approved Person (AP) has contravened any law or regulatory requirement• Manage and assist with investigations into the conduct of APs that have been reported to the MFDA• Correspond with the Securities Commissions and MFDA regarding APs that have been terminated for cause and/or reported for a reportable event• Coordinate, manage and prepare requests for information from the Securities Commissions and MFDA • Provide support and guidance to staff as it relates to regulatory requirements and internal policies and procedures• Conduct compliance reviews on internal policies and procedures to identify gaps in existing compliance programs and participate in developing and providing solutions to ensure continued compliance with policies and procedures• Developed and maintain the dealers reportable events tracking log and dashboard for quarterly reporting• Co-created a Database that is the book of record for the Member’s APs and has the ability to input, store and report information on APs and Branches that is required to support the functions, processes, procedures and reporting responsibilities of the Member’s Compliance and Registrations Departments

Toronto, Canada Area

• Performed Head Office supervision by conducting daily trade surveillance that involved the review of transactions to detect unusual activity and unsuitable investments• Oversaw and assessed the suitability of borrowing to invest (“leveraging”) strategies to ensure compliance with internal policies and procedures and regulations• Analyzed trends to identify risks and potential gaps in the Branch and Head Office supervision process• Provided support and guidance to the line of business, compliance team and management regarding interpretation of internal policies and procedures and regulations; implementing solutions as required• Performed risk assessments and compliance reviews to ensure the Member’s internal policies and procedures and risk controls were operating effectively• Demonstrated initiative by developing workbooks to improve the efficiency of Head Office trade surveillance• Collaborated with internal partners to ensure accordance with new securities and regulatory requirements (i.e. Point of Sale and CRM2)

Toronto, Canada Area

• Reviewed, assessed and submitted registration forms, ensuring compliance, for persons with disclosed criminal charges and ongoing financial obligations• Ensured APs complied with terms and conditions imposed on them by the Securities Commissions in the provinces and territories they were registered• Managed and investigated queries from the Securities Commissions for APs who disclosed criminal charges, civil proceeding and financial hardships • Provided support to the Provincial Compliance Officers and Branch Compliance Officers regarding APs training and supervision requirements and ongoing registration• Worked with the BMO Institute for Learning to ensure all new APs completed the Training Program requirement within 90 days of being registered • Led the development of an improved on-boarding process to better communicate the New Registration Training and Supervision Requirements for new APs

Toronto, Canada Area

• Reviewed, assessed and submitted registration forms, ensuring compliance, for persons seeking registration• Managed and updated APs personal and employment information in the National Registration Database• Orchestrated and conducted meetings with the compliance team and management to review new and/or existing registered high risk individuals• Maintained and tracked the completion of the Training and Supervision requirements for APs• Provided logistical, administrative and compliance support to Branch staff, compliance team and management• Developed and implemented documentation to increase efficiency of the registration process

• Advised and offered financial solutions and products to meet everyday banking, investment and lending needs• Built and maintained client trust by continued ability to understand and establish their investment goals• Provided an exceptional level of customer service resulting in several recommendations, client acquisitions, and overall client retention and loyalty

Toronto, Canada Area

• Managed personal & commercial business accounts by handling requests related to banking services• Understood and analyzed client challenges to identify potential business opportunities and meet client needs• Collaborated with team members to ensure the Bank continued to deliver a positive client experience