Responsible for the design, implementation and refinement of comprehensive compliance systems to adhere to regulatory requirements and company policiesOrchestrate a culture of compliance as a subject matter expert by providing leadership, coaching and supervision to compliance department staffConsolidate monthly compliance reports to CEO, CFO, COO and CCO to communicate controls, tools, training, frameworks, and insights required to manage the firm's risk profileCommunicate new regulatory requirements to impacted business and control functions and work collaboratively to ensure compliance within projects launched for material changes or new regulationsPlay a key role in IIROC Business Conduct Compliance (BCC) and Trade Conduct Compliance (TCC) audits by coordinating regulatory examinations and responding to all queries in an accurate and timely mannerConduct reviews and provide approvals on outside activities, marketing materials and client communications to ensure they are compliant with NI 81-105 and the firm's Policies and ProceduresPerform research and analysis to assist in drafting policy and procedure amendmentsInitiate account openings, manage update requests, oversee trade reviews and handle client complaints Accelerate the resolution of operation related issues between the firm and carrying brokerEstablish, review and maintain employee registration files and continuing education (CE) requirementsFacilitate new issue and private placement transactions

Supervising and approving daily trades, account openings, KYC updates, outside activities, social media supervision, leverages and other service-related compliance issuesResolving compliance issues within regulatory guidelinesManaging regulatory obligations and commitments such as 90-day training program, 6 month supervision, periodic sub-branch visits, continuing education as well as close supervisionIdentify training requirements, implementing and coordinating the delivery of training programsInternal compliance reviewsSupporting external regulator audits

Advising Canadians (professionals, business owners, and retirees) on strategies to minimize their taxes, maximize their long-term wealth, and reach their financial goalso Help manage over 70 million dollars in assets under managemento Service over 300 individual households and 400 different clients-Facilitate transfer and consolidation of assets-Recommend various standard term and complex participating life insurance policies-Ongoing review meetingso Prepare personalized comprehensive and detailed financial plans to achieve goals of clients through:-Investment Strategies-Insurance Needs Analysis-Tax Planning-Retirement and Intergenerational Estate Planning

Advanced CANDU Reactor (ACR-1000) Projects:Led a team of 6 people for EC6 document recovery projectProcured equipment for the ACR-1000 Balance of Plant (BOP) project Created Requests for Proposal, bid analysis, and technical specificationsManaged the Master Equipment, valve, and line lists for the BOPPerformed Quantity Take-Off exercises for priority systems within the ACR-1000 Identified delays with the Engineering Change Control and organized changes which recovered over $500,000 to dateIncreased efficiency and communications between departments through new business processesImproved Design Change Package (DCP) and Design Change Notice (DCN) processesCo-ordinated with 15 engineers to track and expedite DCP/DCN progress

Focused on layout drawings and process flow schematicsRevised design plans, design requirements, technical specifications and walk-down reports

Managed small scale capital projects from requisition to implementation and validationAdministered Installation and Operational Qualification Protocols for pharmaceutical processing & packaging equipment

Managed the issuing, executing, and closing of change controlsCo-ordinated the disassembly and passivation of equipment parts during plant shutdownDeveloped a reliability analysis database for in-house use

Focused on the Apotex - Richmond Hill expansion projectCompiled and executed the Installation and Operational Qualification ProtocolsEnsured equipment were commissioned according to as-built specifications

Established funding and cash flow projections for Ontario Small Town and Rural ServicesCreated a forecast model for the operation and maintenance of water treatment plants

Instrumental in the completion of the York Region Project Management ManualPrepared the Operations and Maintenance Manual for YMCA Camp Queen Elizabeth's Wastewater Treatment Plant and for the Township of Asphodel-Norwood's Water Treatment Plant

Examined data in fuel-related issues to support engineers and management Provided technical analysis for an annual report on Benzene content in Gasoline

Implemented a risk-assessment model for First Nation communities in OntarioConducted a cost-estimation model for water and sewage treatment systems