Martin J. Boucher
Ottawa,Canada
Summary
Quality-oriented, collaborative Financial Services professional and infinite Leader with 25 years, experience as a registrant, 20 years as a Supervisor (CIRO-OSC-CCO qualified). Proven knowledge of regulatory requirements, dedicated and
adaptable to sales performance analysis and implementation facilitating change in a dynamic industry leading a team supporting the front line empowering the business for continued, sustainable betterment while protecting the firm, investors and capital markets.
Overview
27
27
years of professional experience
Work History
Compliance Lead
Laurentian Bank of Canada - LBCFS
Montreal, Quebec
10.2024 - 07.2025
- Responsible for regulatory monitoring for the firm, supporting the Chief Compliance Officer;
- Contributed innovative ideas and solutions to the regulatory transition from MFDA to CIRO (Phase 4 & 5), proficiency assurance, delegation to CIRO AMF registrations, TCR & Principal Distributor requirements and management and training of complaints management team (new AMF requirements July 1st 2025) enganced team performance and outcomes.
- Worked successfully with diverse group of coworkers to accomplish goals and address issues related to our products and services. Lead for launch of investment loan program with Private Bankers.
- Member of the Compliance Officers committee AMF & CSF, regulatory monitor8ng committee AMVI / IFIC.
- Governance and audit controls, management and trackung of regulatory issues in Resolver.
Regulatory Affairs Manager - Branch Supervision
Bank of Nova Scotia; Scotia Wealth - MD Financial Management Limited
Ottawa, Canada
11.2019 - 08.2023
- Founder of the Regulatory Affairs department supporting its successful creation (2019) and transition to the 3 lines of defense model aligned to Scotia Wealth standards.
- Built a robust, compliant, and efficient Compliance program to mitigate risks managing a team of 13 Senior Supervisors, 3 Supervisors and 2 Assistants responsible for all business lines supervision and oversight covering the entire country.
- Supporting, via the team, 502 registrants, 8 regions, 48 branches, totaling 64 B$ AUM, including full-service brokerage, Private Investment Council, Robo-Advisor, Private Trust, Insurance and financial planning. 130 000+ annual documentation review, approval and 3-4 million trades reviewed annually.
- Monitored industry standards and developments relating to regulatory requirements (CIRO, OBSI, OSC, AMF, CSF, PIPEDA, Global Tax, CASL and PCMLTFA. A true ally for the front-office.
- Escalated findings to Chief Compliance Officer from oversight and internal investigations. CCO delegate for Risk compliance intelligence (RCI-SAAS)
Territorial Compliance Officer Manager registration & licensing
MD Financial Management Limited (Compliance, Legal and Governance – CLG)
Ottawa, Canada
01.2013 - 11.2019
- Chief Authorized Firm Representative. (AFR), leading team of Senior Registration Officers.
- Completed annual internal reviews, regional audits and led 4 Branch Conduct Compliance (BCC) with CIRO.
- Effective Relationship Management with the businesses and Leaders. 3 consecutive years of podium sweep (top performing regions; business results aligned with low deficiency rates and resolution times) with 3 of my regions.
- Champion the cause of teaming and partnering with all lines of business to meet both regulatory requirements and achievement of business results. Uncovered firm’s biggest fraud and forgery case (no longer under litigation privilege), worked with Scotia Financial Crime unit and Fraud investigators for one full year.
- Technology and systems issues owner for Compliance. Led selection and implementation of many strategic initiatives: Surveillance systems (completed due diligence on multiple vendors SS&C, SunGard, Portfolio Aid), implemented with advisor access for efficiency. Paper Cut (Doxim) electronic forms project, DocuSign (electronic signatures) and Robo-Advisor/MD ExO Direct subject matter expert (Nest Wealth & Fidelity FCC).
- Provide Compliance solutions, mentoring/training new and tenured staff alike. Accountable for creation of content and material for training.
Senior Compliance Officer
MD Financial Management Limited
Ottawa, Canada
02.2012 - 12.2013
- Identified and reacted to changes in regulatory requirements impacting company obligations.
- Supported the implementation of Centralized Compliance for all business lines. Audit and supervision functions.
- Identified areas of risk within the organization and developed strategies to mitigate potential issues.
- Owner and author of procedures and work-instructions.
- Identified ways to improve efficiency in operations and implemented process changes.
Branch Manager
Raymond James (IFS) & Canaccord Genuity
Gatineau, Canada
09.1998 - 02.2012
- Collaborated in annual business plan with advisors to improve client financial well-being.
- Reviewed employee job performance and contribution during performance appraisal.
- Facilitated conflict resolution between customers and staff members, improving the branch's reputation for quality service.
- Day-to-day compliance issues, transactions, trading and handling of client accounts.
- Interaction with regulatory bodies & various compliance departments.
- Inspired others to extend themselves and to attain goals.
- Group RSP manager for local business' including 3 Rona stores.
Education
Consulting Sales Training For Wealth Management
Horn Training
09.2017 - 10.2017
Change Strong, Managing For Superioe Results, Situationa
PMC Training
09.2016 - 12.2016
94-98 - Business Administration & Political Science
University of Ottawa
Ottawa, OntarioCertification in Investment Dealer Compliance - Chief Compliance Officer Qualifying Examination Program, Certificate in investment Dealer Compliance, Branch Manager Course - Effective Management, Seminar - Options Supervisor course - Options and Derivatives Fundamentals - Options Licensing, Financial planning, I & II
Canadian Securities Institute
OttawaSkills
- Compliance
- Regulatory Strategy
- Sales Development
- Coaching
- Mentoring
- Empathy
- Project Management
- Business Analysis
- Systems Analysis
- Team Leadership
- Compliance Relationship Management
- Change Management
- Records Management
- Policy Development
- Client Complaint Resolution
- Regulatory compliance
- Risk management
- Policy development
- Audit controls
- Complaint resolution
- Relationship management
- Data analysis
- Surveillance strategy
- Team leadership
- Training and mentoring
- Problem solving
- Effective communication
- Process improvement
- Change management
- Communication
- Organization and time management
- Self-Directed
Volunteer Experience
- Volunteer - Executive positions, Various School Board and Sports Associations, Ottawa, ON, 08/01/00, 08/31/22, Dedicated volunteer with community sports Associations: Coach with Orleans Little League, CMHA, CJGMHC, ONC Canadians, Director for the CJGMHC and member of the Ottawa B league board of Governors (2011-2014) and the Cumberland Jr. Grads Minor Hockey Club Executive Board, ONC Canadians., Vice-president Parent-Teacher Board (École Saint-Joseph d'Orléans 2006-2007)., Member of the Board of directors of the non-profit daycare: Centre le Cartier des Jeunes (Orléans; Ontario 2010-2012)
- Ottawa Reads volunteer, Charles Hulse Elementary School, Ottawa, ON, 09/01/16, 02/29/20, Used positive reinforcement techniques to encourage, motivate, and build confidence in students. One on one reading of children's books.
Languages
- French, Native
- English, Bilingual
- English as a second language, Result of E (ESL-written comprehension 632B1E)
Timeline
Compliance Lead
Laurentian Bank of Canada - LBCFS
10.2024 - 07.2025
Regulatory Affairs Manager - Branch Supervision
Bank of Nova Scotia; Scotia Wealth - MD Financial Management Limited
11.2019 - 08.2023
Consulting Sales Training For Wealth Management
Horn Training
09.2017 - 10.2017
Change Strong, Managing For Superioe Results, Situationa
PMC Training
09.2016 - 12.2016
Territorial Compliance Officer Manager registration & licensing
MD Financial Management Limited (Compliance, Legal and Governance – CLG)
01.2013 - 11.2019
Senior Compliance Officer
MD Financial Management Limited
02.2012 - 12.2013
Branch Manager
Raymond James (IFS) & Canaccord Genuity
09.1998 - 02.2012
94-98 - Business Administration & Political Science
University of Ottawa
Certification in Investment Dealer Compliance - Chief Compliance Officer Qualifying Examination Program, Certificate in investment Dealer Compliance, Branch Manager Course - Effective Management, Seminar - Options Supervisor course - Options and Derivatives Fundamentals - Options Licensing, Financial planning, I & II
Canadian Securities Institute
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