Senior Compliance Leadership - Independent Compliance Practice
(2019-01 - 2026-07)
Senior compliance leadership to investment dealers and exempt market dealers on a full-time, interim, fractional, and advisory basis.
Vice-President & Chief Compliance Officer - Numus Capital Corp.
(2021-03 - 2026-07)
- Served as sole compliance authority for an Exempt Market Dealer, accountable for the firm's entire regulatory mandate.
- Governed suitability and approval of all private placements, ensuring each investment was appropriate for approved, eligible clients.
- Owned the firm's AML/ATF program end to end, including policy, monitoring, and reporting.
- Advised and guided the sales force on regulatory obligations and registrant conduct.
- Kept policies and procedures current with evolving CSA and provincial securities requirements.
Compliance Consultant - First North Inc. (FNI)
(2022-09 - 2025-09)
- Advised dealer clients on compliance programs, supervisory frameworks, and regulatory obligations tailored to each firm's mandate.
- Led gap analyses across compliance systems and supervisory structures and remediated identified deficiencies.
- Drafted, updated, and modernized compliance policies and procedures.
- Served as subject-matter expert on trade and conduct compliance matters.
Director, Trade Conduct Compliance - Questrade Inc.
(2020-02 - 2020-10)
- Led trade-conduct compliance for an Order-Execution-Only broker-dealer, directing the Trade Conduct Compliance team.
- Modernized trading policies and procedures to meet current regulatory standards.
- Performed gap analysis across Trade Conduct environment.
- Served as compliance advisor to the Trade Desk, including order-entry support during peak periods.
Compliance Consultant - RBC Capital Markets
(2019-10 - 2020-01)
- Conducted debt-trade surveillance and resolved trading exceptions.
- Recalibrated the Nasdaq SMARTS equity trade-surveillance system.
- Updated policies and procedures to align with regulatory requirements.
Vice-President, Operations & Chief Compliance Officer - Regent Capital Partners Inc.
(2019-06 - 2019-09)
- Held full CCO accountability for a Type 2 introducing broker, concurrently serving as CAMLO, Privacy Officer, and Designated Options Supervisor.
- Authored and delivered the Annual UDP Report to the Board, covering compliance assessments and material incidents of non-compliance.
- Acted as primary regulatory liaison and ensured timely regulatory reporting and filings.
- Sat on the Compliance, Credit & Risk, Conflicts of Interest, and AML committees.
- Oversaw operations for the introducing broker alongside the compliance mandate.
Director & Chief Compliance Officer — DSL (Canada / CIRO) - Dundee Securities — DSL (Canada / CIRO) & DSI (U.S. / FINRA)
(2016-12 - 2018-12)
- Led the enterprise compliance program for DSL Canada — spanning compliance staff, investment advisors, traders, and investment bankers — ensuring adherence to firm policies and industry regulations.
- Held CCO, CAMLO, Privacy Officer, and Designated Options Supervisor designations concurrently.
- Authored and presented the Annual UDP Report to the Audit Committee and Board, including all material compliance incidents.
- Reviewed and amended the firm's policies, procedures, and trade desk manuals to reflect new regulatory requirements.
- Owned the firm-wide AML program and training; served as primary liaison for regulatory inquiries and examinations, ensuring filings and reports were submitted on a timely basis.
Director & Chief Compliance Officer — DSI (U.S. / FINRA) - Dundee Securities — DSL (Canada / CIRO) & DSI (U.S. / FINRA)
(2015-10 - 2017-05)
- Led the enterprise compliance program for the firm's U.S. FINRA-member broker-dealer.
- Served as the firm's senior compliance and AML officer; owned the AML program and training and acted as primary regulatory liaison and owner of regulatory filings.
- Reviewed and approved equity research; conducted OSJ and non-OSJ branch reviews; built the annual Needs Analysis and Continuing Education plans.
- Executed all trade-related compliance requirements and maintained the DSI Compliance Manual, updating it as required.
Director, Compliance — DSL (Canada / CIRO) - Dundee Securities — DSL (Canada / CIRO) & DSI (U.S. / FINRA)
(2010-01 - 2016-12)
- Deputized for the CCO across monitoring, oversight, and supervision of the firm's regulatory obligations.
- Investigated marketplace, exchange, and regulatory rule violations by clients and traders.
- Maintained the Grey and Restricted lists; served as back-up reviewer and approver of equity research.
- Contributed to the Compliance, Credit & Risk, Managed Accounts, New-Issue Screening, New Products, and Fairness Opinion committees.
Senior Compliance Officer (Capital Markets) — DSI (U.S. / FINRA) - Dundee Securities — DSL (Canada / CIRO) & DSI (U.S. / FINRA)
(2002-12 - 2015-10)
- Filed OATS reports daily; conducted Global Relay email surveillance and trade surveillance to ensure ongoing FINRA compliance.
- Supported responses to FINRA requests and inquiries.
Senior Compliance Officer (Capital Markets / Retail) — DSL (Canada / CIRO) - Dundee Securities — DSL (Canada / CIRO) & DSI (U.S. / FINRA)
(2002-12 - 2010-01)
- Performed Tier 1 and Tier 2 supervision across retail, managed, and options accounts.
- Delivered quarterly trade-desk reviews to the Head Trader, CCO, and UDP.
- Advised staff on internal policies and regulatory requirements and supported responses to regulatory requests.
