Hired originally as Compliance Manager for Keybase, promoted to interim Chief Compliance Officerof Argosy within six months. Mandated to review and interpret regulations under the Mutual FundDealers Association of Canada (MFDA), and to ensure compliance in the rapidly changing mutual fundsenvironment.
- Managed project plan, budget, structure, schedule and staffing requirements to form the newcompliance department.
- Lead and managed a team of Compliance Officers and Operational Administrators and workedclosely with Branch Managers across Canada to promote a culture of risk management and compliancethroughout all levels within the organization.
Ravinder Tulsiani, PhD Candidate, CTDP, PMP, CSSBB – page 2 - Assessed individual and team’s knowledge and skills to identify learning gaps by setting performanceobjectives, delivered on-going feedback and conducted mid-year/final performance reviews.
- Educated and trained Financial Advisors and Branch Managers, ensuring that clearly defined lines andstandards of accountability were implemented and adhered with.
- Designed, developed & delivered regulatory compliance training courses for classroom, Instructor-ledonline, and eLearning.
- Developed and instituted resources for suitability and risk assessment, compliance procedures, andinternal audit.