CHIEF COMPLIANCE OFFICER
Specialist in Financial Services Risk Management

A senior corporate executive with 20+ years of experience in the industry. Accomplished at managing corporate compliance and mitigating risk at the enterprise, board, management, and employee level. A professional with a reputation for integrity, sound decision making, and the ability to identify areas of compliance vulnerability. An industry expert sought after for consultative advice, public speaking, and committee participation. Expertise includes:

X Provide guidance to the Board and Executive Team on all compliance issues
X Establish corporate-wide compliance programs, committees, policies, and procedures
X Institute and maintain sound communication and training programs
X Coordinate with corporate counsel, human resources, external regulators, and related parties
X Evaluate systemic risk and develop corrective as well as preventative procedures

Published author and contributor (Penguin Books, Globe & Mail)

Experience:

Independent Compliance & Dispute Resolution Consultant Dec 02 - Present
Contracted by corporate clients for expert witness analysis and litigation support.
X Successfully analyzed complex securities disputes for major Investment Dealers.

Chief Compliance Officer; Director, Ultimate Designated Person
RAYMOND JAMES LTD. (formerly Goepel McDermid Inc.) May '99 - Dec 02
Managed the Compliance function for a national Investment Dealer. Directly accountable for Retail, Institutional, Investment Banking, Research, Insurance, Managed Accounts, and Options. Vice President, Investment Advisor (Jun 02 V Dec 02).
X Authored Policy and Procedures Manual
X Transitioned firms compliance system to new SRO jurisdiction (IDA) standards
X Developed and implemented Branch Supervision and Branch Audit programs

Director, National Compliance
CREDENTIAL SECURITIES INC. Dec '98 - Apr '99
Managed the Compliance function for both a national Securities Dealer; Mutual Fund Dealer and Mutual Fund Company within the complexities of a Financial Institution (Credit Union system).
X Trained regional compliance officers in branch audit and review
X Implemented communication program and streamlined dissemination of key compliance initiatives

Independent Compliance Consultant May '98 - Nov '98
Provided compliance consulting and program development services for securities and mutual fund dealers nationally.
X Authored Compliance Manual for a national dealer
X Managed complex derivatives issues with exposures in excess of several million dollars

Chief Compliance Officer; Ultimate Designated Person
FORTUNE FINANCIAL CORP. Jan '97 - Apr '98
Head of Compliance for a Securities Dealer; Mutual Fund Dealer and Mutual Fund Company.
X Member of the project team that launched a Mutual Fund Company
X Developed and trained a complete and new compliance team
Vice President, Compliance
TD SECURITIES INC. Jun '94 - Dec '97
Head of Compliance for Green Line Investor Services Inc. (later TD Waterhouse).
X Developed and implemented first branch audit/review program
X Developed compliance program for correspondent broker network

Manager, Options
GREEN LINE INVESTOR SERVICES INC. Mar '86 - May '94
Responsible for risk management function for largest national option dealer in Canada.
X Led Project team to develop and Implement Options trading
X Green Line became largest national options dealer during management tenure


Education:

Honours BA - York University

Canadian Securities Courses: U.S (NASD) Courses:
New Partner's and Director's Exam Securities Principle - Series 7
Canadian Securities Course Option Principle - Series 4
Designated Registered Option Principle General Securities - Series 24
Derivatives Fundamentals Course "Blue Sky" Exam - Series 63
Canadian Option Course
Registered Representatives Exam
Branch Managers Course
Level 1 Insurance Course (CAIFA)


Publications:

Author - Exploring Options, Penguin 1996

Columnist / Contributor - Globe & Mail, Fifty Plus Magazine
X Contributed articles on topics including Tax Treatment of Derivatives, Option Strategies


Directorships:

Canadian Derivatives Clearing Corporation
Goepel McDermid Inc.


Public Speaking:

Insight Conferences
X Investment Councillor Compliance Considerations

Compliance and Legal Section Special Education
X Board of Trade Presentation on Options Compliance
X Retail Supervision and Branch Audit Programs

Financial Forum
X Retail Option Strategies


Interests:

Competitive Bridge Player V World Championships Geneva 1992; Miami 1988