Neil M.

Experienced finance professional with over 15 years of experience in Canadian financial services, including time spent as a licensend equity and options trader and as a Director of Compliance for a top five Canadian Bank and Investment Dealer. REGULATORY COMPLIANCE EXPERIENCE: Canadian Financial Services, Compliance Control Room, Investment Banking, Corporate Banking, Mergers & Acquisitions, Due Diligence, Underwriting, Commercial Banking, Equity & Fixed Income Research, Equity Research, Watch & Restricted List Management, Reporting Insiders, Conflicts of Interest, Outside Business Activities, Trade Review & Investigations, Material Non-Public Information, Information Barriers, Anti-Bribery & Anti-Corruption, Training Materials & Education, First & Second Line Oversight, Reporting Insiders, Regulatory Filings, PEP. REGULATIONS: Bank Act, AML & Financial Crime, KYC, BSA, SEC, FINRA, FINTRAC, CIRO/IIROC, UMIR, Ontario Securities Commission, OSFI, MiFiD, PIPEDA, FATCA. SKILLS: Drafting policies & procedures, creating training and testing materials, interpreting regulatory requirements, gap analysis, swot analysis, investigations, audits.