Roger Walters

** ****** ***** **********, ** M*J 2V8 416-***-**** acus7v@r.postjobfree.com

Profile

Extensive customer service experience within the retail and financial services sector, in areas such as wealth management, privacy, compliance controls, retail business, policies and procedural development, corporate training, program development,

Professional Experience

Various Contractual Roles 2012-2016

Ingram Micro: Warehouse Logistics Administrator

Wycliffe Properties: Property Administrator

RetunTrax: Lead Logistics Associate

Sears Canada: Logistics Administrator

MUNDOMEDIA 2011-2012

Compliance Officer and Mobile Security Manager

Responsible for strategic and technical compliance

Monitored international campaigns applicable to online and mobile marketing

Identified and resolved fraudulent activity FINTRAC and corporate policy

Conducted procedural audits and quality assurance reviews

Regulatory Compliance – Consulting Role 2010-2011

Reviewed processes for various Managing General Accounts:

Assisted with compliance testing, risk assessment, and policy development

Reviewed and audited processes and assisted in the development of the compliance manual

Conducted KYC reviews, monitored and responded to client queries

THE EMPIRE LIFE INSURANCE COMPANY 2004-2009

Compliance Consultant

Conducted compliance testing, risk assessment, developed policies and procedures applicable to the Retail Marketing Division and corporate policies

Reviewed and verified compliance pertaining to various Federal and Provincial regulatory bodies

Accountable for the review and implementation of the Legislative Compliance Management (LCM) as it pertained to the corporate framework of regulatory risk management controls

Developed and monitored the technical process used to minimize and eliminate gaps within all lines of business related to Retail Marketing

CANADA LIFE INSURANCE COMPANY 2002-2004

Compliance Consultant

Analyzed and interpreted legislation and regulations, determining how they apply to new and existing products and procedures

Monitored internal and regulatory policies; approved all advertising and marketing materials created for internal and external usage

Drafted procedures relevant to corporate due diligence processes, regulatory and legislative policies, information booklets and applicable forms

Provided clarification for the implementation of regulatory and legislative rules through written and oral directives

Roger Walters Page 2.

20 Clancy Drive Willowdale, ON M2J 2V8 416-***-**** acus7v@r.postjobfree.com

SCOTIA MCLEOD 2000-2001

Wealth Management Administrator

Ensured the completeness and accuracy of all life, disability and segregated fund applications

Verified the national certification licensing of all Insurance and Investment Executives

Calculated commissions payable to all licensed Investment Executives, ensuring the accuracy of fund distribution

Liaised with Investment Executives, Insurance Consultants and other business units regarding client transactions for accuracy, completion and KYC policies and procedures

SCOTIABANK 1997-2000

Sales and Investment Officer (1998-2000)

Sold and processed a wide variety of investment products and services to clients; credit cards, RRSP’s, new accounts and mutual funds

Ensured prompt responses to client queries, in an effort to preserve bank relationships

Member of team responsible for the development and implementation of the Wealth Management Program

SCOTIABANK continued

Electronic Banking & Adjustment Officer (1997-1998)

Analyzed and calculated interest for Federal and Provincial student loans in accordance to government legislation

Reconciled discrepancies relating to loan repayments as per Federal and Provincial directives

DEPARTMENT OF INDIAN AFFAIRS 1995-1997

AND NORTHERN DEVELOPMENT (DIAND)

Financial Fraud Research Analyst

Researched and developed policies, processes, roles and responsibilities for forensic auditing, utilized to detect and eliminate fraud

Developed mediation strategies for First Nations which provided the framework necessary to manage fund transfers

Mediated dispute resolution cases involving DIAND and First Nations

Education and Professional Development

Bachelor of Arts Law, Carleton University

Business and Accounting Diploma, Seneca College

Branch Compliance Officer Course, Presently

Member of Canadian Life Insurance Standards Association (CLIEDIS)

Member of Insurance Intermediaries, Canadian Life and Health Insurance Association

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