8 years as the CCO for one of Canada's leading online private equity platforms. Lead and supervise work as an integrated part of the management team, leveraging the broader organization and resources to embed a compliance culture and design and maintain a compliance framework that meets the requirements of local, national, or international regulations. Work with internal and external stakeholders across compliance, payments, industry relations, finance, risk, counsel, audit, product development, and sales and marketing to develop key relationships and inform senior management of compliance matters or developments that require attention or action. Relied upon to solve challenging business or risk problems or improve business affairs, and lead meaningful change through technology enablement and scalability. Ensure adherence to Know-Your-Client (KYC) and Know-Your-Product (KYP) requirements, AML/TF monitoring and reporting, referral agent reviews, client complaints, disclosure documents, identification and mitigation of conflicts of interest, trading procedures, reviewing marketing material and sales initiatives, oversight of outsourced activities/key vendors, administrative oversight over insurance coverage, staff training and; other internal control matters as required. In depth knowledge of securities legislation and key point of contact for regulatory agencies. Facilitate regulatory audits, reviews or exams; and analyze and prepare reports for senior management and the Board of Directors. Keen interest in compliance legislation across multiple jurisdictions with track record of regulatory engagement and product development. Served a two-year appointment with the British Columbia Securities Commission’s FinTech Advisory Forum (2020-2022). Broadly educated with a specialization in private capital and a desire to provide quality opportunities to investors. BFA, MFA, CSC, PDO, CCOQE, CIM (in progress). 8 years as the CCO for one of Canada's leading online private equity platforms. Lead and supervise work as an integrated part of the management team, leveraging the broader organization and resources to embed a compliance culture and design and maintain a compliance framework that meets the requirements of local, national, or international regulations. Work with internal and external stakeholders across compliance, payments, industry relations, finance, risk, counsel, audit, product development, and sales and marketing to develop key relationships and inform senior management of compliance matters or developments that require attention or action. Relied upon to solve challenging business or risk problems or improve business affairs, and lead meaningful change through technology enablement and scalability. Ensure adherence to Know-Your-Client (KYC) and Know-Your-Product (KYP) requirements, AML/TF monitoring and reporting, referral agent reviews, client complaints, disclosure documents, identification and mitigation of conflicts of interest, trading procedures, reviewing marketing material and sales initiatives, oversight of outsourced activities/key vendors, administrative oversight over insurance coverage, staff training and; other internal control matters as required. In depth knowledge of securities legislation and key point of contact for regulatory agencies. Facilitate regulatory audits, reviews or exams; and analyze and prepare reports for senior management and the Board of Directors. Keen interest in compliance legislation across multiple jurisdictions with track record of regulatory engagement and product development. Served a two-year appointment with the British Columbia Securities Commission’s FinTech Advisory Forum (2020-2022). Broadly educated with a specialization in private capital and a desire to provide quality opportunities to investors. BFA, MFA, CSC, PDO, CCOQE, CIM (in progress).

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  Chief Compliance Officer in FrontFundr

  Democratizing the private markets