IMPLEMENTATION SUPPORT
On-the-ground governance, compliance and operational/technical support.
OUR SOLUTIONS:
• Overseeing GRC framework design & implementation
• Growth planning based on GRC considerations
• Bridging roles and responsibilities among business functions (e.g. operations, risk, compliance, legal, audit)
• Outsourced Compliance Officer services (e.g. registrations, filings/reporting, regulator engagement)
• Helping guide/monitor regulatory examinations processes
PROJECT EXAMPLES:
- Lead ongoing supervisory updates to federal regulator in connection with risk and compliance program transformation
- Developed regulatory library and taxonomy implementation for enterprise regulatory compliance management program
- Oversaw daily regulatory compliance monitoring program for global capital markets and wealth management programs of large bank.
- Led implementation of electronic registration software across all Canadian jurisdictions of investment fund companies to interface with CSA system.
- Managed rollout of new internal regulatory tracking and reporting methodology for corporate and regulatory branches of provincial regulator.
- Oversaw go-live announcement for launch of alternative trading systems platform into Canadian marketplace.
On-the-ground governance, compliance and operational/technical support.
OUR SOLUTIONS:
• Overseeing GRC framework design & implementation
• Growth planning based on GRC considerations
• Bridging roles and responsibilities among business functions (e.g. operations, risk, compliance, legal, audit)
• Outsourced Compliance Officer services (e.g. registrations, filings/reporting, regulator engagement)
• Helping guide/monitor regulatory examinations processes
PROJECT EXAMPLES:
- Lead ongoing supervisory updates to federal regulator in connection with risk and compliance program transformation
- Developed regulatory library and taxonomy implementation for enterprise regulatory compliance management program
- Oversaw daily regulatory compliance monitoring program for global capital markets and wealth management programs of large bank.
- Led implementation of electronic registration software across all Canadian jurisdictions of investment fund companies to interface with CSA system.
- Managed rollout of new internal regulatory tracking and reporting methodology for corporate and regulatory branches of provincial regulator.
- Oversaw go-live announcement for launch of alternative trading systems platform into Canadian marketplace.