Senior Compliance Analyst - BMO Legal and Regulatory Compliance
(2023-03 - 2023-08)
- Supported BMO Wealth Management and Enterprise Compliance in modernizing registration information for over 18,000 registered individuals, reducing project duration by 2 months.
- Served as a point of contact for issue resolution and executed compliance reviews to increase the efficiency of regulatory compliance, risk management and internal controls.
- Rendered support for the compliance project oversight of NRD-related activities.
- Monitored registration, licensing, and training requirements for employees.
- Provided compliance resource to BMO registrants to help them with development and implementation of new compliance policies, controls, and procedures.
Assistant Manager - CHARTWELL Constantia
(2020-12 - 2023-03)
- Day to day overall control of Finance & Administrative functions, managing, controlling, monitoring of financial & administrative activities.
- Provided excellent solutions and responded to requests or concerns from residents or family members while contributing to efficient operation of a fast-paced office.
- Calculated payroll duties required for the precise computation of all employee salaries and wages and answered all residents' questions about bills and payments.
- Aided the front desk employees, maintained records of each employee's hours worked, vacations, holidays, and sick days, and supported the other team members.
Compliance Registration | Registration Control and Verification Officer - Scotiabank
(2013-02 - 2017-11)
Adhered to the industry's compliance policies, procedures, and regulations for processing all registrations to decrease process variations, minimize late fees, and increase process control and accuracy across Canada.
- Responsible for NRD registration enactment compliance with various corrective action plans and identification verification issues for management, resulting in over 8,000 verified requests and a 63% reduction in security breaches in the first six months.
- Verified the Mutual Fund and IIROC data per the National Registration Database (NRD), plus reconciled the securities, accounts, and insurance registrations to ensure timely and accurate processing.
- Supervised a team of 12 registration officers to ensure that the NRD database system up to date to facilitate regulatory compliance.
- Enhanced registration compliance data validation for staff accreditation, license renewals, and fee requirements.
- Created and designed VO guidelines to ensure uniform processing, error reduction, and increased productivity; produced seasonal reports to identify trends and issues and conducted weekly, quarterly, and monthly reports for management.
- Excellent knowledge of National Instruments 33-103 and 33-109, and bylaws of self-regulating organizations (SROs).
Credit Risk Management | CARDs Officer - Scotiabank
(2010-01 - 2013-02)
Developed strong knowledge of the CARDs database system and a solid understanding of lending plus capital adequacy terminology, including facility type, pricing, terms, security, committed and uncommitted, internal, and external rating equivalents, loan covenants, and treasury products.
- Controlled efficiency in CARD production by introducing print monitoring controls and distribution processing over 100 credit presentations (1035) daily with variation complex assignments, identifying problems, and suggesting alternatives to meet directors' approval.
- Processed International CARD presentations for Latin America, the Caribbean, the Pacific, the Middle East, and Real Estate Hospitality Finance and entered data into the CARD system.
- Introduced print monitoring controls and the distribution phase and processed more complicated assignments, detecting issues, and offering solutions to meet daily deadlines, all of which helped to achieve 100% efficiency in CARD production.
- Developed and maintained an Excel-based international credit presentation tracking LOG to offer management-specific information from the CARDs database, which enhanced the reporting procedure.
- Managed increasingly complex assignment requests and approved the final advice and counsel presentation for submission to the CARD database system.
Customer service and support specialist - Scotiabank
(2005-01 - 2010-01)
- Earned the 2007 Award of Excellence for in-depth knowledge of all operating procedures, ensuring the service was courteous while maximizing sales opportunities.
- Delivered comprehensive bank-wide process flows for support with the mid-office department on processing applications, including credit, mortgage, personal loan, wire transfer, cash settlement adjustments, commercial transactions, reporting reconciliation of discrepancies, and branch inquiries to meet banking needs.
- Contributed and supported retail banking, securities processing, and all foreign exchange operations, including gold and silver transactions.
- Assisted clients in setting up new accounts for consumers and businesses, helping customers over the telephone with debit card problems, and Balancing bank ATMs.
