CONSULTING SERVICES
My unique approach to problem solving will provide a fresh outlook on compliance. Working with you, we will find the best solutions to fit your business model and operations, while remaining compliant with regulations
POLICIES & PROCEDURES
Looking to develop your policies, but not sure where to start? Whether you are a Portfolio Manager, Exempt Market Dealer, Investment Fund Manager or CIRO Dealer, I can assist with the development, training and smooth implementation of policies and procedures. A few examples include: AML/ATF, cybersecurity, KYC, KYP, supervision, sponsorships, due diligence, marketing & social media and business continuity
TRAINING
A critical element to effectively implementing a policy is providing fulsome training to your team. Whether it is AML/ATF training, day-to-day compliance and supervision or general policies and procedures training, your team will be comfortable and knowledgeable to ensure your firm is compliant
ONGOING SUPPORT
Don't have the resources or capacity you need to foster a culture of compliance? Need to focus on the growth of your business or managing your operations? I offer ongoing support on general compliance matters and can assist with regulatory obligations to allow you to focus on other initiatives
AUDIT SUPPORT & MONITOR ENGAGEMENTS
Preparing for a regulatory audit can be time consuming and you may find yourself in a position of needing assistance. My experience in preparing for audits can allow your team to continue day-to-day operations with the peace of mind that you'll ready for your upcoming audit. If your firm needs guidance on rectifying deficiencies we will work together on the development and execution of a plan. In the event your firm is required to engage a compliance consultant to assist in addressing compliance deficiencies and improve compliance systems as a result of a compliance review or an enforcement investigation, my hands on approach will provide the comfort and confidence you need to continue business operations while while addressing the identified compliance deficiencies
