Cathy Pompili
Vaughan
Summary
Resourceful Specialist offering expertise in problem-solving, data analysis and customer service. Adept at quickly learning new technologies and processes for driving success. Proven track record of successfully managing multiple projects and developing innovative solutions.
Overview
23
23
years of professional experience
Work History
Senior Ethics & Compliance Specialist
OLG
01.2022 - Current
- Implement risk-based monitoring and oversight responsibilities for regulatory obligations, including oversight of compliance with the Public Service of Ontario Act and OLG’s Code of Business Conduct
- Respond to inquiries related to business conduct and regulatory risk, control effectiveness, achievement of compliance outcomes
- Support and advance Compliance & Investigations (CI) through the analysis of large data sets to assess impacts of investigative initiatives and support the development of dashboards/reports to drive operational efficiency, development of priorities and regulatory compliance.
GM, Compliance/Operations
Security Financial Services & Investment Corp
01.2018 - 01.2022
- Provide guidance in interpretation of policies, procedures, and standards for all advisors of the dealer
- Conducting annual reviews and discussions of advisor's adherence to policies and regulatory requirements
- Primary contact for all registration-related queries
- Develop and maintain all dealer policies and procedures
- Develop and implement automation systems to daily operations functions.
- Delivered exceptional customer experiences through personalized service offerings tailored to individual preferences.
- Fostered a positive work environment to improve team morale and productivity levels.
- Reduced costs with thorough budget analysis and strategic financial planning.
- Streamlined operations for increased efficiency by identifying areas of improvement in workflow processes.
- Led organizational restructuring efforts aimed at improving overall efficiency and cost effectiveness.
Bookkepper
Capparrotta Genua LLP
01.2014 - 01.2018
- Managed accounts payable and receivable activities, maintaining vendor relationships and positive cash flow.
- Maintained and processed invoices, deposits, and money logs.
- Handled payroll processing for employees, ensuring timely payment and adherence to tax regulations.
- Monitored incoming payments from clients, ensuring prompt application of funds against outstanding invoices.
- Completed payroll for employees and maintained detailed records of procedures.
- Prepared monthly bank reconciliations to ensure accurate representation of company''s financial position.
- Reconciled and corrected issues with financial records.
- Established QuickBooks accounting system to reflect accurate financial records.
- Reduced errors in financial reporting by conducting thorough reviews and ensuring accurate data entry.
- Provided support during audits by supplying requested documentation promptly and accurately.
- Completed tax forms in compliance with legal regulations.
Compliance Officer
CIBC Wealth Management Compliance
01.2012 - 01.2014
- Main contact for the CIBC Personal Trading Policy by approving trades and reconciliation of statements
- Primary contact for the Personal Trading Policy Maintenance of compliance database, which includes employee information, to ensure accurate reporting
- Provided guidance in interpretation of the Personal Trading Policy, procedures and standards for employees.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.
- Provided expert guidance on complex regulatory matters, enabling informed decision-making within the organization.
Manager, Regulatory Reporting
CIBC Asset Management
01.2007 - 01.2012
- Develop and deliver timely, compliant, and cost-effective regulatory projects (Annual and Semi-Annual Reports, Annual and Semi-Annual Management Reports of Fund Performance, Commercial Prospectus, etc.) for the CIBC Asset Management (CAM) products
- Manage highly confidential and sensitive projects (e.g., prospectus/AIF amendments)
- Develop and maintain process and standards, including mandatory timelines, to development of regulatory projects
- Managed a team of 4 employees effectively in order to achieve year end goal.
Senior Compliance Officer
TD Asset Management
01.2001 - 01.2007
- Project team member for Personal Trading System (PTS) project (Tier 3), which is to implement an intranet-based application for personal trading approvals, policy administration and communication to employees
- Project currently in testing/implementation stage
- Developed interim solution for BRP risk of access to TDAM trading system via Citrix, pending implementation of PTS Project
- Maintenance of compliance database, which includes employee information, to ensure accurate reporting
- Provided guidance in interpretation of policies, procedures and standards for employees
- Assist in conducting reviews and discussions of business unit adherence to corporate policies and regulatory requirements as required.
- Enhanced regulatory compliance by developing and implementing robust policies and procedures.
- Championed process improvements through analysis of past incidents and proactive identification of emerging trends.
- Served as an internal subject matter expert on all aspects of industry-specific compliance requirements, acting as a trusted resource for colleagues seeking advice or clarification on complex issues.
Education
Business administration diploma - Business & Accounting
Toronto School of Business
Mississauga, OntarioSkills
- Customer Relations
- Expert Problem Solving
- Documentation Management
- Quality Assurance
- Management collaboration
- Advanced Communication
- Technical communication
- Proficient in Microsoft Office and Quickbooks
- Data Analysis
- Analytical Thinking
- Accounts Payable and Receivable
- Research abilities
- Critical Thinking
Languages
English
Native or Bilingual
Timeline
Senior Ethics & Compliance Specialist
OLG
01.2022 - Current
GM, Compliance/Operations
Security Financial Services & Investment Corp
01.2018 - 01.2022
Bookkepper
Capparrotta Genua LLP
01.2014 - 01.2018
Compliance Officer
CIBC Wealth Management Compliance
01.2012 - 01.2014
Manager, Regulatory Reporting
CIBC Asset Management
01.2007 - 01.2012
Senior Compliance Officer
TD Asset Management
01.2001 - 01.2007
Business administration diploma - Business & Accounting
Toronto School of Business
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