Toronto, Ontario, Canada
Senior Director - Head of Capital Markets Compliance Program, Strategy Execution & Technology Transformation
Centralized Applications, Automation, and Governance (Global)
Enhanced compliance monitoring with automated trade reporting alerts in Python. Collaborated with counsel to review regulatory filings and assess swap dealer policies. Advised front office on CFTC/SEC determinations, cross-border swaps, and documentation. Engaged in industry forums, provided guidance on trade reporting changes, and drafted enforcement action summaries. Executed quarterly monitoring, conducted compliance testing, managed regulatory inquiries, and guided affiliated entities in interactions with SEC, CFTC, and NFA.
Established and managed a team correcting transaction reporting errors and fulfilling remediation commitments to the NFA. Collaborated with external vendors to create a compliant reconciliation and error correction procedure aligned with upcoming CFTC rewrite. Led cross-functional groups to address trade reporting breaches globally. Assisted in preparing the firm's quarterly risk exposure report as per CFTC regulations. Provided training and coaching to new staff on derivatives transaction lifecycle and reporting obligations.
Ensured compliance with reporting obligations for OTC derivatives across multiple regulatory bodies. Automated manual workflows, enhancing operational efficiency. Analyzed upcoming regulatory changes and updated reconciliation program accordingly. Executed reporting controls, addressing breaches. Prepared governance reports to monitor compliance. Handled stakeholder inquiries from counterparties, audit, and compliance.
Built clinical evidence to advance the standard of care in prostate cancer detection. Conducted data validation and analysis, including designing and testing custom software for automated analysis. Contributed to engineering development using MATLAB for machine learning, signal processing, and image enhancement. Drafted manuscripts, abstracts, and posters for commercial and academic presentations.
Implemented workload optimization strategies for installers and repair technicians, prioritizing high-priority jobs and reducing travel time. Managed business communications to resolve escalated cases and address installation concerns with internal and external partners. Identified and reported instances of installation non-conformance.
Developed and implemented a training program for a team of 30 staff members. Established a first aid certification program and managed accident report maintenance. Successfully resolved issues with legal guardians. Assisted in recruitment and selection of full-time staff. Provided coaching and mentoring to train future leaders. I served as the soccer program director during my first year with the organization.