Analyst, Legal and Compliance at Burgundy Asset Management (2025-03 – Present)
- Conduct pre- and post-trade surveillance in Charles River across all portfolios, reviewing investment activity for compliance with regulatory requirements and internal investment policies.
- Perform ongoing compliance monitoring and internal reviews, testing key controls across portfolio management, trading, and investment operations to identify and mitigate compliance risks.
- Prepare and submit 10-15 regulatory filings annually within set regulatory deadlines, maintaining accurate records and supporting audit readiness.
- Update and maintain firm-wide compliance policies and procedures to reflect regulatory changes and evolving business practices.
- Serve as a compliance subject matter expert to internal teams, responding to 50+ inquiries monthly and providing guidance on investment activity, trading requirements, and internal policies.
- Analyze regulatory and investment-industry development, including NI 31-103 requirements, and briefing senior management on potential business impact.
- Collaborate with portfolio managers, traders, and operational teams to investigate and resolve investment-related issues, supporting timely and accurate execution of business activities.
International travel across Asia at Travel Break (Personal Sabbatical) (2023-11 – 2024-09)
Operations Analyst – Adjustments at RBC Investor & Treasury Services (2022-10 – 2023-11)
- Reviewed Letters of Indemnity (LOI) to execute fund trade adjustments following internal risk policies.
- Maintained 100% compliance with CRA regulations by efficiently handling regulatory-sensitive transactions for Home Buyers Plan, and Registered/Locked-In accounts (TFSAs, RRSPs, RIFs, LIRAs, etc.).
- Slashed discrepancies by 50% through implementation of new reconciliation protocols and improved trade settlement accuracy, including P&L and product control measures.
- Facilitated cross-functional vendor projects integrating FundSERV and Unitrax, improving payment accuracy and trade monitoring for over 15 institutional clients.
- Led User Acceptance Testing (UAT) and Production Testing (PIV) for key programs, enhancing functionality and resolving 95% of issues pre-launch.
Administrator – Transaction Processing at RBC Investor & Treasury Services (2018-05 – 2022-10)
- Reduced processing time by at least 70% through the recommendation and implementation of Bulk Data Upload (BDL) for high volume transactions.
- Conducted FX conversions and facilitated SWIFT payments, settlements, and electronic funds transfers (EFTs), in adherence to AML/KYC and regulatory requirements.
- Processed over 1,200 financial transactions (subscriptions, redemptions, and transfers) on a monthly basis.
- Contributed to the audit of adjusted transactions and departmental processes, while maintaining efficiency and accuracy in accordance with KYC (Know Your Client) and CDD (Customer Due Diligence).
