Dillon Jayasinghe
Brampton,ON
Summary
Focused compliance professional bringing 7 years of expertise in regulatory compliance, audit procedures, project oversight and risk management. Accuracy-driven, with a focus on evaluating and optimizing company policies and procedures across board. Disciplined and forward-thinking with results-oriented approach. Advanced knowledge of audit methodologies, functions and compliance teams.
Overview
10
10
years of professional experience
Work History
Senior Compliance Associate
Wealthsimple
Toronto, ON
01.2023 - 01.2024
- Created detailed reports for CIRO outlining findings from investigations into consumer complaints.
- Completed daily compliance reviews to optimize regulatory and operational performance.
- Established internal compliance controls and trade compliance processes to support compliance through project management and engagement of key stakeholders.
- Identified, investigated, and reported compliance issues against accepted standards.
- Implemented artificial intelligence to enhance the efficiency of complaint investigations, resulting in a substantial reduction of handling time by 50%.
Compliance Manager
Independent Trading Group
Toronto, ON
02.2021 - 01.2023
- Conducted reviews of trading activity of market makers and agency traders to ensure compliance with IIROC, UMIR, CSA and AML regulations
- Developed and oversaw policy/procedure updates to ensure compliance policy is up to date and in line with current rules and regulations.
- Performed daily investigations to help manage compliance risk for the firm in regards to DWAC transfers and develop testing methodologies for changing OTC environment.
- Provided on boarding support to new clients as well perform ad hoc duties for CCO
Trade Surveillance Officer - RMFI
Royal Bank of Canada
Toronto, ON
10.2018 - 11.2019
- Conducted multiple thorough suitability reviews to ensure compliance with MFDA regulations
- Provided extensive consultation to multiple departments to support new compliance system rollout
- Provided consistent and flexible support to a changing business environment
- Identified opportunities for process improvements that would increase efficiency while maintaining compliance standards.
Compliance Analyst (Trade Conduct & Wealth Mgmt)
Questrade Financial Group
Toronto, ON
02.2017 - 04.2018
- Conducted reviews of trading activities to ensure compliance with IIROC, UMIR, CSA and AML regulations
- ability to conduct over 20 daily compliance reviews
- Conducted a full audit of entire compliance system to ensure compliance system follows IIROC guidance
- Supervisory duties to ensure successful onboarding to new-to-role analysts
Invest-by-Phone Advisor
Royal Bank of Canada
Toronto, ON
08.2013 - 07.2016
- Contributed to a superior client experience and team sales results by assisting new and existing clients with their savings and investment needs in the RBC Advice Centre
- 4.5 million in sales by Quarter 3 of 2016 (100% of full year sales goal)
- Team LTR champion with 8 straight 10 surveys in 2015
- One of the top 3 advisors on team throughout investment season and year
- Adhered to marketing campaigns assignments with the goal of deepening client relationships and building long-term profitable relationships
- One of the top 5 advisors in entire province in 2015 investment season
Education
Bachelor of Arts - Honours Applied Economics W/ Business Admin Option
Wilfrid Laurier University
Waterloo, ON12-2016
Level 2 Candidate
Chartered Financial Analyst Candidate (CFA)
Skills
- Internal Auditing
- Compliance Monitoring
- Legal Research
- Internal Controls
- Trend Monitoring
- Document Review
- Compliance Reviews
- Regulatory Knowledge
- Internal Audits
- Policy Analysis
Affiliations
- Amateur Boxer
- Multi-instrumentalist
- World traveler
Timeline
Senior Compliance Associate
Wealthsimple
01.2023 - 01.2024
Compliance Manager
Independent Trading Group
02.2021 - 01.2023
Trade Surveillance Officer - RMFI
Royal Bank of Canada
10.2018 - 11.2019
Compliance Analyst (Trade Conduct & Wealth Mgmt)
Questrade Financial Group
02.2017 - 04.2018
Invest-by-Phone Advisor
Royal Bank of Canada
08.2013 - 07.2016
Bachelor of Arts - Honours Applied Economics W/ Business Admin Option
Wilfrid Laurier University
Level 2 Candidate
Chartered Financial Analyst Candidate (CFA)
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