Compliance Associate
PGM Global Markets Ltd.
Montreal, QC
07.2003 - 08.2025
- Reviewed and updated compliance policies and procedures documentation for regulatory adherence and accuracy for both CIRO and FINRA.
- Assisted in developing internal policies and procedures for compliance and risk standards. Including yearly education for registered representatives.
- Conducted risk assessments to identify potential compliance issues within operations that was documented. Weighed against standard risk procedures with our governing representatives. CIRO and FINRA.
- Employee brokerage outside account verification and analysis versus trading desk orders. As well as outside trading consent letters to brokerages for pro accounts.
- Assisted with annual 3130 and 3120 CCO reports.
- Mailing lists and distribution of all client accounts for bi annual and annual Financial Statements.
- Monthly check list preparation and distributions to persons with authority in trading, IT and governance.
- Audit preparation and document management.
- Client acquisition and documentation associated with AML and KYC
- Inter corporation management and communication with other offices across Canada and the USA
- Office greetings and order supplies.
- Audit representative for all required documentation, FINRA, CIRO, FINTRACT and OFAC.
- Responded to all prospective client’s emails in French and English.
- Completed on line forms: Form1, 606-607, quarterly inventory, etc..