Centre for Business Compliance Transformation Conference

Wayne brings a wealth of compliance expertise, having served in key roles at prominent financial institutions. He served as the chief compliance officer for Edward Jones in Canada and held leadership positions at Invesco, where he oversaw compliance across multiple business units in North America. Wayne also played a pivotal role in shaping compliance strategies at CIBC's Wealth Management division as its vice president of Compliance. 

John is head of the firm’s International Trade & Investment Law Group and a partner in our Litigation Group. He helps clients understand how international trade agreements and foreign investment laws impact their business. John assists clients through the tangle of regulatory impediments faced by Canadian companies seeking to expand their business globally, and to international businesses entering the Canadian market.

Chris founded his firm CMBYND to inspire and deliver compliance innovation.

He leads a team of strategic hands-on consultants on transformational projects with results achieved in capital markets, wealth, retail banking, operations and leading edge bank-wide solutions.

Bill is a Senior Compliance Consultant at AUM Law, with extensive knowledge working within wealth management and distribution firms. In his role, he provides senior level advisory services to registered individuals and dealers, on all aspects of their securities regulatory compliance obligations and the implementation of securities regulatory requirements. 

Ghaleb helps organizations start, execute, and deliver their agile business transformation. He has worked with executives and teams across the different phases of the business cycle, including the setup of greenfield operations, scaling new business lines, the optimization and turnaround of underperforming businesses, and divestments and integrations. 

With over 20 years of compliance experience, Marcelle came to the AML shop after serving in senior level roles with international banks and has since become a thought leader for emerging and newly regulated industries, such as crypto currency, payment services providers and prepaid card powered neo-banks. She specializes in the development and maintenance of policies, procedures, risk assessments and training programs. Marcelle serves on several government and industry advisory groups and is a Certified Anti-Money Laundering Specialist and has additionally obtained a certification in risk management from the Association of Certified Anti-Money Laundering Specialists, as well as the Chainalysis Inc. Cryptocurrency Fundamental Certificate.

Co-head of Torys’ Consumer Protection practice and Fintech group, Brigitte has more than 30 years of experience working in the financial services industry, including the banking, insurance and financial cooperative sectors. With roles ranging from general counsel and policy management to serving as the Deputy Commissioner of the Financial Consumer Agency of Canada for nearly five years, Brigitte has deep knowledge of the legislative framework applicable to financial institutions in Canada, with a particular emphasis on consumer protection matters.

Bob has nearly 30 years of experience in fighting financial crime, most recently as the Director of Financial Crimes & Money Laundering Reporting Officer for Sun Life Canada, his role since 2022. He was previously the Deputy Chief AML Officer at a “big 5” Canadian bank and has consulted for other domestic and international companies in the banking, insurance, and securities sectors. 

Tony is a well-rounded, dynamic and results-driven senior financial services executive with a large, diverse network and proven success in strategic and operational design, business development and growth, sales management, legal & regulatory affairs, compliance and oversight. Trilingual (English, French, Spanish). Keenly interested in corporate and competitive strategy and execution. Passionate about interdisciplinary team leadership and coaching.

Suzanne has had an illustrious career with the regulatory organization spanning almost two decades. She joined the Investment Dealers Association in the Financial & Operations Compliance group in 2005 and ascended through various managerial roles within FINOPS to become Director. In 2021, her responsibilities extended to the organization’s strategic function when she assumed the position of Director, Member Regulation & Strategy at IIROC, before moving on to her current role.  

Antoinette is the Head of the Financial Institutions and Mortgage Brokering Conduct team. Her team is responsible for conduct supervision of the credit unions, mortgage brokerages and mortgage administrators, and related policy making. Antoinette also chairs the Mortgage Broker Regulators’ Council of Canada. MBRCC is a forum for Canadian regulators to cooperate and share information to identify trends and address common issues.

Prior to joining FSRA, Antoinette was a member of the senior management team at the Ontario Securities Commission. She had extensive experience in compliance, risk and policy-making with respect to mutual fund dealers, investment dealers, clearing agencies, trade repositories, self-regulatory organizations and investor protection funds.  She had chaired and represented the OSC on various international and domestic regulatory committees driving harmonization in policy and application.  She completed a secondment at Payments Canada in 2017-2018 as Director of Financial Market Risk, where she was responsible for leading the development of the risk and settlement models for Canada’s wholesale, retail batch and real-time payment systems in collaboration with the financial sector and the Bank of Canada.

Sandra is a director in Deloitte’s Regulatory Risk Advisory practice, with over 12 years of industry experience
within financial services, specializing in technology-enabled compliance transformation. Sandra's experience spans anti-money laundering, suitability/conduct, trade surveillance, GRC and, most recently, financial crimes programs. She has been active in the RegTech community since 2017, participating in conferences globally, leading workshops for clients and evaluating new entrants.

Marc concentrates his practice on advising clients on securities law matters and capital market transactions, including public (closed gap) offerings and private placements and regulatory issues.  Marc also advises clients on securities law issues related to blockchain, cryptocurrency and non-fungible tokens (NFT's).

Behzad specializes in strategic advisory and tactical delivery of business objectives through technology enablement. He has experience in large scale transformation, innovation strategy, process improvement & agile enablement, technology strategy, people & org development, CX/UX design/thinking, Data & AI, DevSecOps, MLOps, software development, cybersecurity, fraud, cloud infrastructure, business continuity planning and resilience. He has successfully delivered on industry-leading solutions for top Canadian and Global clients.

Jacqueline is Managing Director, Canada Lead of Risk & Compliance Solutions, Protiviti with a focus on the financial services industry. A business-centric leader recognized for significant achievement in the development and implementation of effective risk-based integrated compliance frameworks and programs across multiple registrant categories and across international jurisdictions. A strategic thinker, able to provide risk-disciplined advice and support to meet key strategic business initiatives and priorities. Demonstrated capacity to leverage technology to help businesses focus limited resources on high risk, high-impact compliance risks while maintaining capacity to meet business priorities.

Loren is the Senior Director of Capital Markets Regulatory Technology at CIBC and a Strategic Advisor to the Canadian RegTech Association. Loren has been the driving force behind Capital Markets’ Regulatory Technology strategy and delivery plan. Loren is a natural and highly experienced leader with a strong track record for consistently driving the organization to meet strategic goals, while balancing immediate demands for change.

Anne oversees the independent, second line Global Compliance and Financial Crimes function for Sun Life. Previously, Anne was the Global Chief Compliance Officer for Great West Lifeco. Previously Anne has held the following roles: Chief Risk and Compliance Officer for Capital One (Canada Branch), a number of roles at BMO including: Chief Compliance Officer for BMO's Wealth and Asset Management business globally, Deputy General Counsel and Chief Administrator Officer to BMO's General Counsel; Chief of Litigation for BMO’s Canadian banking business. Prior to joining BMO, Anne was senior counsel at the Enforcement Branch of the Ontario Securities Commission and in private practice.

Junaid, Vice-President of Legal Affairs & Chief Compliance Officer at Sagard since 2019, oversees legal matters pertaining to fund formation, investment activities, and regulatory compliance. With previous roles including General Counsel and Chief Compliance Officer at CoPower Inc., Junaid brings extensive experience in fintech startups and corporate securities law from his tenure at Stikeman Elliott LLP in Toronto and a New York-based law firm's Emerging Companies and Venture Capital group. Holding degrees in Common Law and Civil Law from McGill University, Junaid is recognised for his contributions, being honoured as "Young Lawyer of the Year" by the Federation of Asian Canadian Lawyers in 2016. 

As Chief Compliance Officer of Cidel Bank Canada, Cidel Trust Company and Cidel Asset Management, Bryan is responsible for managing the firm’s compliance and AML programs. He has 15 years of industry experience in compliance and risk management. Prior to joining Cidel, Bryan was the Chief Compliance Officer for UBS Bank (Canada). He holds the Fellow of the Canadian Securities Institute and the Chartered Investment Manager designations and is a Certified Anti-Money Laundering Specialist. Bryan is a Board Director for the UHN Foundation and a member of its Investment Committee.

Felicia is Deputy Director of the Ontario Securities Commission’s Compliance and Registrant Registration (CRR) branch. She is responsible for CRR’s oversight programs.

Shameel oversees branch examinations, compliance investigations, and registrations at IG Wealth Management. Since joining the company, he has taken on various pivotal roles, each with escalating responsibilities. He is held in high esteem by his colleagues for his dedication and expertise. Furthermore, Shameel actively champions the profession, serving as a mentor to fellow CPAs and providing support to candidates navigating the CPA Professional Education Program at IGWM.

Sue Ling has over 23 years of Canadian and international experience in the banking and financial services industry. She is a regulatory compliance and anti-money laundering subject  matter expert, and her experience also encompasses front line operations as well as the management of enterprise compliance programs, internal audits, investigations and remediation
projects. Her background also includes operational and enterprise risk management. Her experience extends throughout the financial services industry, having led a number of anti-money laundering practice groups, implementing AML programs within organizations and compliance groups throughout the Canadian Financial Services industry.