Scott Rosborough, Cpa, Ca Email & Phone Number

Toronto, On, Ca

- Greenland- Nunavut- USA (west coast)- Mexico (Baja peninsula) - Antarctic Peninsula- Falkland Islands- South Georgia

Parry Sound, Ontario, Canada

• Teach Paddle Canada Sea Kayak Level 1 and Level 2 skills courses• Teach Paddle Canada Sea Kayak Rolling clinics• Teach Paddle Canada Wilderness Camping courses• Teach Paddle Canada Basic Stand-up Paddleboard courses• Kayak back-country expedition guide• Paddling coach at Ontario Sea Kayak Centre annual symposiums

Antarctic Peninsula

Toronto, Ontario, Canada

• Reviewed existing policies and procedures for improvements and realignment of accountabilities to Chief Compliance Officer • Lead team in pre-implementation user acceptance testing of new trade surveillance software• Provided leadership and guidance to direct reports in daily trade surveillance activities and provided coaching in the identification and resolution of potential regulatory issues • Responded to front-line inquiries by assessing risk and applicable MFDA rules and policies • Prepared monthly and quarterly reporting to the Chief Compliance Officer and Board of BMO Investments Inc.

Toronto, Canada Area

• Developed internal policy for the handling and processing of Financial Consumer Agency of Canada (FCAC) Reportable Compliance Issues (RCIs)• Assessed compliance issues against applicable legislation, regulations, and codes of commitment to determine reportability• Provided guidance and support to Assessable Units across the bank with respect to RCIs• Liaised with internal stakeholders to ensure understanding of compliance issues and strengthen inter-department relationships • Drafted Reportable Compliance Issue reports for submission to the FCAC• Assessed remediation efforts and control enhancements to determine efficacy in resolving compliance issues• Assessed ad hoc queries and reporting requests from the FCAC and prepared responses on behalf of the Chief Legal and Compliance Officer• Provided leadership and guidance to direct reports in their roles of assessing employee conflicts of interest and regulatory reviews of marketing

Iqaluit, Nunavut, Canada

• Researched grants and funding opportunities available to Nunavut businesses and employees• Ensured company assets were properly registered, insured, and managed• Worked with City Economic Development and Planning staff to obtain Iqaluit business licence• Developed and fostered relationships with Government of Nunavut staff and Inuit community leaders • Researched options for hiring and paying Nunavummiut employees• Scouted locations across southern Baffin Island for the purpose of future tourism opportunities• Expedition Leader for safari camps and excursions

Toronto

• Developed methodology for AML examinations to test the design and operating effectiveness of the Bank’s AML policies, procedures, and internal controls on a line of business basis• Hired, trained, and lead a diverse team of 10 Managers and Examiners• Created a four-year, risk-based AML examination cycle for the Bank• Created an examination timeline with defined roles and responsibilities to allow examinations to be completed in a consistent, efficient, and timely manner• Reviewed examination working papers prepared by Examination Team and provided a challenge function for any issues identified by the Team• Reviewed all communications, including formal reporting, prior to issuance• Worked with various lines of business within the Bank to build strong, collaborative relationships to ensure understanding of the regulatory requirements and the purpose of the examinations• Liaised with Risk Assessment team to understand the risks of lines of business in scope for examination• Conducted ad hoc research on behalf of Senior Director, Enterprise AML Governance and Oversight as necessary

Toronto, Canada Area

• Researched and assessed internal controls and regulatory risks in order to establish Compliance oversight of branch testing• Wrote the department policy for the execution of quality assurance reviews of branch examinations• Created and built the quality assurance testing templates and tracking documents• Conducted and reported on quarterly analysis of branch testing results with respect to AML, Bank Act, IIROC, and MFDA regulatory testing• Created a quarterly process to assess the progress of annual branch testing• Developed relationships, and continually engaged with other Compliance groups to promote a strong oversight framework for BTO • Managed the process of having all AML, Bank Act, IIROC and MFDA regulatory tests consistently risk assessed, and matched to a regulatory requirement• Collaborated with other Compliance groups to update branch regulatory tests• Conduct ad hoc research on behalf of the Director, BTO, as necessary

Toronto, Canada Area

• Planned compliance examinations to determine the scope and to identify areas of risk and concern• Liaised with Provincial Securities Commissions• Lead teams of Compliance Officers in conducting compliance examinations across Eastern Canada• Conducted testing in such areas as securities trading practices and trend analysis, financial reporting, complaints, advertising and securities due diligence in order to assess compliance• Reviewed Dealer Policies and Procedures for inconsistencies to MFDA Rules and Regulations• Formed good working relationships with Dealers and aided them in achieving regulatory compliance• Managed multiple examinations simultaneously • Presented findings to Dealer senior management• Compiled data for the purpose of internal monitoring and for issuing Bulletins to the Membership• Prepared and taught internal education seminars for compliance staff

Toronto, Canada Area

• Planned, executed and finalized year-end review and audit engagements using Canadian Generally Accepted Auditing Standards for private and public companies• Planned, executed, and reported on compliance examinations based on identified risks and concerns• Developed audit programs and testing procedures relevant to risk and testing objectives• Ensured audit conclusions were based on a complete understanding of the client’s business processes, circumstances and risk• Effectively prioritised and managed multiple tasks simultaneously and consistently met deadlines• Worked closely with clients to obtain an understanding of their business activities and to obtain documentation sufficient and appropriate for the engagement• Assisted clients in establishing adequate internal policies and procedures• Quality Control reviewer for all compilation engagement financial statements issued by the office

Chartered Professional Accountant / Chartered Accountant

Bachelor Of Commerce (B.Com.), Accounting And Finance