Regional Compliance Officer/Main Branch Manager
Assante CapitalFinancial Management Inc
Jan 1996 - Dec 2003 (8 years)
ASSANTE ADVISORY SERVICES, LTD.
Regional Compliance Officer, AB, SK, NWT, NU, (2000-2003)
Oversaw compliance issues for 200 advisors and staff; identified and led appropriate remediation strategies and monitored resolution of issues. Interpreted and enforced policy at the regional level; investigated regional client complaints.
• Supervised and trained/re-trained newly hired and disciplined Advisors.
• Attended national, regional, and branch meetings, presented critical information, and identified appropriate practices.
• Took ownership of daily and monthly trade review.
► KEY ACCOMPLISHMENTS
- Tier 1 Review - Directly supervised 30 Branch Managers in Tier 1 Reviews.
- Tier 2 Review - Served as Registered Trading Officer in 4 jurisdiction