Summary
Overview
Work History
Education
Skills
Certification
Languages
Hobbies and Interests
Volunteer Experience
Timeline
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Alexander Gamboa

141 Rue Du Saule Noire Terrebonne,QC

Summary

Highly experienced professional with 23 years in the financial services industry, including leadership roles in insurance, wealth management, and compliance. Known for organizational rigor, team leadership, regulatory expertise, and strategic thinking. Proven skills in liquidity and risk management, retirement planning, and advisor training. Bilingual and adaptable, with a strong ability to build and maintain business relationships.

Overview

15
15
years of professional experience
1
1
Certification

Work History

Senior Compliance Specialist

IG Wealth Management
10.2024 - Current
  • Ensured compliance of insurance and investment transactions across Canada.
  • Updated compliance guide according to AMF, CLHIA, and internal requirements.
  • Presented regulatory rules in regional offices.
  • Supported PQAP integration of new advisors.
  • Approved advanced PFI insurance concepts (> $100,000 premiums).
  • Collaborated with legal, supervision, and audit teams.

Sales Director

DCREE Events
01.2023 - 08.2024
  • Led contract negotiations and portfolio development.
  • Guided clients in financial and real estate planning.
  • Managed team meetings, performance reviews, and compliance.
  • Monitored tax strategies and product adaptation to client needs.

Financial Security Advisor

Le Maitre de lAssurance
04.2022 - 08.2022
  • Advised clients and advisors on investment and insurance solutions.
  • Managed documentation for compliance with evolving regulations.
  • Supported digital tools and CRM (Salesforce) for client meetings.
  • Achieved personal sales objectives and built advisor relationships.

Entrepreneurial Project Developer (Freelance)

Private Practice
04.2021 - 04.2022
  • Supported advisor relations and recruitment strategies.
  • Developed and executed market-driven recommendations.

Director, Talent Acquisition and HR

SFL Wealth Management
01.2020 - 01.2021
  • Acted as a resource person for advisor issues, developing and maintaining excellent team relationships.
  • Involved in the recruitment process, serving as a key intervention point for talent acquisition.
  • Formulated recommendations in line with market best practices.

Investment and Compliance Director

SFL Partner of Desjardins Financial Security
01.2011 - 01.2020
  • Ability to work and make decisions autonomously with a focus on profitability.
  • Communicated with various collaborators to define priorities; proactive in finding solutions and generating new ideas.
  • Responded to advisor calls and questions, proposing personalized savings solutions.
  • Established contacts with investment companies to create lasting business relationships.
  • Ensured adherence to compliance and risk management rules.
  • Supervised the performance of all teams.
  • Determined training needs for team members to improve their knowledge of the industry, service, organization, and required skills.
  • Prepared necessary documentation to ensure compliance with regulatory and other management reports, considering evolving regulations and industry, in harmony with senior management.

Insurance Brokerage Director

SFL Partner of Desjardins Financial Security
01.2010 - 01.2011
  • Built relationships with advisors through an exploratory approach to better understand their life events and offer comprehensive insurance and financial advice tailored to their current and evolving needs.
  • Supported the sales team in a digital environment by meeting clients at their most convenient time.
  • Established and deepened relationships with advisors using Salesforce and other compliant tools/online forms.
  • Contributed to the sales team's success and took responsibility for achieving individual sales targets.
  • Expanded external contact network by leveraging market opportunities and referrals from approved influential individuals.
  • Regularly reviewed individual sales results and adjusted activities as needed to achieve established objectives.

Education

Financial Planner Certification -

Institut Quebecois De Planification Financiere (IQPF)
Montreal
06.2025

Certificate in Administration - Accounting

HEC Montreal
Montreal, QC
01.2009

AEC in Computerized Financial Management - Accounting

College Delta
Montreal, QC
01.2000

Skills

  • Salesforce
  • Kronos
  • Dataphyle
  • Univeris
  • Fund Serv
  • FunGrade
  • FundData
  • Morningstar Advisor
  • Strategic Compliance & Risk Management
  • Project Leadership
  • Business Development
  • Financial Planning
  • Insurance Advice
  • Strong communication
  • Autonomy
  • Innovation
  • Interpersonal skills

Certification

  • Responsible Investment Certification (RIAC), 09/01/21
  • Branch Managers Course (BMC), 10/01/06

Languages

Francais
Anglais
Espagnol

Hobbies and Interests

  • Soccer
  • Baseball
  • Dance
  • Reading

Volunteer Experience

Volunteer & Social Committee Member, IG Wealth Management

Timeline

Senior Compliance Specialist

IG Wealth Management
10.2024 - Current

Sales Director

DCREE Events
01.2023 - 08.2024

Financial Security Advisor

Le Maitre de lAssurance
04.2022 - 08.2022

Entrepreneurial Project Developer (Freelance)

Private Practice
04.2021 - 04.2022

Director, Talent Acquisition and HR

SFL Wealth Management
01.2020 - 01.2021

Investment and Compliance Director

SFL Partner of Desjardins Financial Security
01.2011 - 01.2020

Insurance Brokerage Director

SFL Partner of Desjardins Financial Security
01.2010 - 01.2011

Certificate in Administration - Accounting

HEC Montreal

AEC in Computerized Financial Management - Accounting

College Delta

Financial Planner Certification -

Institut Quebecois De Planification Financiere (IQPF)

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Alexander Gamboa