Summary
Overview
Work History
Education
Skills
Certification
References
Languages
https://www.linkedin.com/in/nancy-edouard-94759367/
Timeline
Generic

NANCY EDOUARD

Montreal,Canada

Summary

I am a Compliance Manager with over 10 years of experience in Compliance, Risk Management, Investment Trading, Financial firms and Banking. Analytical, detail oriented, quick to adapt, self-motivated, team oriented, I am a hard-working individual with an excellent ability to build rapport and maintain strong relationships with various stakeholders. Compliance Manager focused on minimizing company liability by keeping all records, processes and training in full compliance with established standards and legal requirements. Quality-driven and hardworking with proven skills in spotting issues, developing resolutions and implementing corrective actions. Dedicated Compliance Manager proficient in reviewing digital and physical data for risk and compliance issues. Highly analytical, organized and detail-oriented with excellent critical thinking skills. Knowledgeable professional with 10 years and plus in compliance-related positions. Strong verbal and written communication skills with a systematic and diligent approach.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Compliance Manager, Tier 1

IG Wealth Management
12.2018 - Current
  • IIROC & MFDA Registered to conduct tier-1 supervision activities including reviewing and approving daily and monthly trades, account opening and KYC updates, outside activities, social media supervision
  • Supporting IG registrants in resolving compliance issues within regulatory guidelines interpretation and with inquiries relating to acceptance of unique or exceptional situations
  • Managing regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-site sub-branch visits, continuing education, complaints, investigations, as well as close supervision
  • Lead or participate in cross-functional group projects, PowerPoint presentation to help with best practices and improve quality and efficiency within the team
  • Identifying training requirements, implementing, and coordinating the delivery of training programs for New Compliance Managers
  • Participating in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub-Branch office locations
  • Liaise with other compliance teams (Tier 2 , Registration, Operations, AML).

Associate Manager, Compliance Business Review Tier 2

IG Wealth Management
11.2016 - 11.2018
  • Managing a Team of 5 (Registration team and Tier 2 Supervision Analysts)
  • Ensure workload and policies and procedures are met for NRD registrations and administrative support to the Compliance Analysts (reports or emails for compliance queries)
  • Provide guidance to compliance analysts on their daily tasks, handle escalation cases
  • Liaise with other teams, consultants and Qc regulators (when necessary).Provide training to Regional and Division Manager in multiple offices
  • Maintains up-to-date knowledge on the industry and company policies, products and procedures
  • Serve as a key liaison to other areas supporting High-Net-Worth / Private Wealth clients including Transfer /Brokerage Operations, Performance and Compliance
  • Lead or participate in cross-functional group projects to improve quality and efficiency within the team in fast-paced environment.

Analyst, Operations and Compliance

PWL Capital
04.2015 - 10.2016
  • Review and approve account opening, KYC updates prior sending them to a carrying broker for processing
  • Manage CE credits and assist with US registrations (FINRA)
  • Created Key Performance Indicator Dashboard for Senior Management Team
  • Monitor supervision of new portfolios, outside activities, and performance dashboard for the team
  • Review product shelves daily and liaise with Research team
  • Review DD audit reports, Performance reports, Review of RAC (firm capital) for filing to regulators
  • Work in a fast-paced environment that requires a high degree of multi-tasking & Work with others to achieve team goals in a highly collaborative environment.

Compliance & Registration Officer

3MACS INC.
07.2014 - 04.2015
  • Tier 2 Review of branch trading blotter and new accounts daily (3 Macs and MIC division)
  • Manage CE credits, and process license registration & deregistration accordingly (NRD& FINRA) for registrants and for each corporate division (3 Macs(securities), MIC (counsel) and Insurance)
  • Monitor supervision of new portfolio managers, outside activities, Pro accounts, Government seizure on accounts, unlocated clients
  • Liaise with regulators
  • Ensuring that operational service quality standards are applied, and that compliance and risk management rules are followed.

Senior Specialist Integration

Peak Financial Group
05.2014 - 06.2014
  • Ensuring new financial advisors’ business development growth (onboarding)
  • Provide great support in Compliance and Operations during integration phase and participate in corporate projects
  • Financial advisors rep code registration and set up in systems
  • Ensuring that operational service quality standards are applied, and that compliance and risk management rules are followed.

Account Opening Specialist

Peak Financial Group
11.2011 - 05.2014
  • Open or reject new accounts as per regulatory requirement and inform advisors of any discrepancies (MFDA and IIROC)
  • Provide group training and individual coaching to new advisors regarding MFDA & IIROC regulations
  • Conduct interviews when hiring new staff in account opening and compliance departments
  • Perform data analysis to ensure that forms are auto journaled correctly and refer all errors to the technology team (corporate project on onboarding)
  • Greatly involved in the Private Wealth division of the firm (onboarding and set up).

Education

Bachelor of Arts in Political Science -

Concordia University

Skills

  • Fluent in French and English Professional level written and oral communication skills
  • Strong analytical and results-oriented skills
  • Proficient in Microsoft Windows such as Word, Excel, PowerPoint, and other trading, investments, and compliance systems (Dataphile, Croesus, Rbroker, RPM, Purefacts, Powerfolio)
  • Ability to effectively manage workload and deliver quality work on time in a fast-paced environment
  • Ability to quickly remove roadblocks by translating strategy into specific goals, tactics, action plans, and deliverables and effectively delegating to drive execution
  • High level of confidence when interacting with advisors, clients, and colleagues
  • High level of emotional intelligence and self-awareness

Certification

  • Certificate in Investment Dealer Compliance
  • Canadian Securities Institute (CSI)
  • Investment Dealer Supervisors Course (IDSC) & Partners, Directors, and Officers (PDO) & Chief Compliance Officer (CCO)
  • Derivatives Fundamentals & Effective Management Seminar
  • Conduct and Practices Handbook Course (CPH) & Canadian Securities Course (CSC)

References

Available upon request

Languages

English
Native or Bilingual
French
Native or Bilingual

https://www.linkedin.com/in/nancy-edouard-94759367/

This is my professional profile which depicts my professional career path as well as additional courses taken. Available pic on the profile. 

Timeline

Compliance Manager, Tier 1

IG Wealth Management
12.2018 - Current

Associate Manager, Compliance Business Review Tier 2

IG Wealth Management
11.2016 - 11.2018

Analyst, Operations and Compliance

PWL Capital
04.2015 - 10.2016

Compliance & Registration Officer

3MACS INC.
07.2014 - 04.2015

Senior Specialist Integration

Peak Financial Group
05.2014 - 06.2014

Account Opening Specialist

Peak Financial Group
11.2011 - 05.2014

Bachelor of Arts in Political Science -

Concordia University

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