Daniela Capozzolo
Toronto,ON
Summary
Dedicated regulatory professional with extensive expertise in navigating enforcement, compliance, and registration challenges for more than twenty-five years.
Overview
27
27
years of professional experience
1
1
Certification
Work History
Senior Investigator, Enforcement Department
Canadian Investment Regulatory Organization
01.2005 - Current
- Lead Investigator during interviews of witnesses and subjects;
- Prepare for disciplinary hearings, including preparation of documentary evidence, additional data analysis, preparation of presentation materials and assisting in witness preparation;
- Give evidence at disciplinary hearings;
- Review, analyze and evaluate oral and documentary evidence obtained during the course of the investigation;
- Perform securities analysis and evaluation as to risk and suitability as may be required in the course of the investigation;
- Prepare reports recommending courses of action based on the evidence gathered and conclusions drawn;
- Effectively apply legislative knowledge in identifying potential breaches in cases under review;
- Member of the MFDA’s annual strategic internal training session for employees and created evaluation forms to capture and use feedback from attendees for future sessions
Manager, Regulatory Audits & Registration
Assante Advisory Services Ltd.
01.2002 - 01.2005
- Mitigated serious regulatory exposure and large financial liability in resolving deficient regulatory requirements of all Private Client advisors;
- Managed national cross-branch response team and resolved all action items resulting from follow-up IDA audit;
- Managed registration team and instilled culture of regulatory compliance and procedural excellence;
- Designed and implemented internal NRD to proactively satisfy regulatory requirements and internal compliance;
- Developed and implemented internal workflow procedure to reduce licensing delays and ensure success in regulator interactions;
- Responsible for continuing education instruction for branch personnel in compliance and registration;
- Mentored colleagues and resolved performance/disciplinary issues
Assistant Investigator, Enforcement Branch
Ontario Securities Commission
01.2001 - 01.2002
- Responsible for collecting evidence in Bre-X case;
- Produced trading analysis that led to the OSC cease trade order against Mark Valentine of Thomson Kernaghan & Co
- Ltd.;
- Developed and presented results of market impact analysis to Enforcement management team in the ATI insider trading case;
- Determined breach of Securities Act and direction to pursue in Brian Costello hearing;
- Produced 'How to Find Compliance and Registration Problems for Dummies' for Enforcement staff
Senior Registration Officer, Capital Markets
Ontario Securities Commission
01.1998 - 01.2001
- Recognized and recommended improvements to registration policy and workflow procedures;
- Spearheaded training to OSC staff on the new registrations database implementation (NRD);
- Responsible for conducting training of new registration hires
Education
Teaching English As A Second Language
University of Toronto
Toronto, ON01-1999
Bachelor of Arts - English Literature & Mass Communications
York University
Toronto, ON06-1995
Certificate of Criminal Justice & Criminology
Toronto Metropolitan University
Toronto, ONSkills
- Report writing
- Regulatory compliance
- Disciplinary hearings
- Evidence analysis
- Problem solving
- Organizational skills
- Flexible and adaptable
- Communication skills
Affiliations
- Volunteer for the Big Brothers Big Sisters Program
- Volunteer for a soup kitchen for the Durham Outlook for the Needy
Certification
Association of Certified Anti-Money Laundering Specialists
Certified Anti-Money Laundering Specialist
Association of Certified Fraud Examiners
Certified Fraud Examiner
Association of Certified Forensic Investigators
Certified Forensic Investigator
Canadian Securities Institute
Certificate in Investment Dealer Compliance
Hedge Funds & Liquid Alternatives for Mutual Fund Representatives
Chief Compliance Officer Qualifying Examination
Conduct and Practices Handbook
Branch Managers Course
Due Diligence on Hedge Funds
Canadian Securities Course
Ethics Seminar
Partners, Directors & Officers Course
Canadian Operations Course
Traders Training Course
References
References available upon request.
Timeline
Senior Investigator, Enforcement Department
Canadian Investment Regulatory Organization
01.2005 - Current
Manager, Regulatory Audits & Registration
Assante Advisory Services Ltd.
01.2002 - 01.2005
Assistant Investigator, Enforcement Branch
Ontario Securities Commission
01.2001 - 01.2002
Senior Registration Officer, Capital Markets
Ontario Securities Commission
01.1998 - 01.2001
Teaching English As A Second Language
University of Toronto
Bachelor of Arts - English Literature & Mass Communications
York University
Certificate of Criminal Justice & Criminology
Toronto Metropolitan University
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