Christiane Gazaille

* **** **-*****, **-Philippe, Qc. J0L2K0

Tel : 450-***-****

EMAIL : adq3iq@r.postjobfree.com

PROFILE

Dynamic individual with extensive experience in the financial services industry, holding multiple investment licences looking for a position as Compliance Officer or Chief Anti-Money Laundering Officer.

Solid background and experience in: AML, Registration both NRD and FINRA, OFAC,OFSI, FINTRAC, Branch Audits, Training, maintaining and building Policy Manual, Complaints handing, rules and regulation of the Financial Industry, liaise with various regulators TMX, IIROC, and provincial securities commissions, SAR and STR reporting, and experience with SEDAR, EDGARD and filings.

Experienced in managing staff

Training staff in AML and Investment Compliance

Bilingual French and English

EXPERIENCE

DESJARDINS SECURITIES Nov 2021 to March 2022

Principal Senior Compliance Officer

Privacy breach supervision manager

Continuing education internal course reviews and approvals

Special projects related to compliance.

LAURENTIAN BANK SECURITIES Sept 2017 to October 2021

Senior Compliance Officer

Conduct daily and monthly reviews tier 2

Approve new accounts, approve marketing, and conduct compliance education seminars for staff

Participate in special projects requested by CCO (compliance manual, regulatory updates, and IIROC audits

Branch audits

Perform firm AML supervision

Train new compliance staff on firm procedures

Conduct investigations, file COMSETS, and respond to regulators inquiries

Participate in management discussions

11

STUART INVESTMENT MANAGEMENT LTD – May 2017 to Sept 2017

Chief Compliance Officer and Chief Operating Officer

Performing firm wide Compliance Surveillance, regulation supervision and updates, Anti-Money Laundering Officer and Privacy Officer

Supervise registration of the dealer

Handle complaints and conduct branch audits

Handle the corporate registration and corporate governance

Supervise staff of five people

vCAMLO ( contractual work) -AML Consultant July 2016 to May 2017(consultant contract)

vCAMLO™ is the outsourced solution in meeting and exceeding obligations under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act

Work on special AML projects such as: Risk Assessment and Special Situations

Supervision of the AML Analyst reviews and coaching on AML

Building AML Compliance Manuals and Questionnaires

WOLTERS KLUWER- financial planning training consultant May 2015 to Jan 2016

Wolters Kluwer provides financial planning, tax and accounting professionals with research and software solutions that optimize efficiency, streamline costs and drive tighter collaboration.

Train clients on FP Solution financial planning software in person, online

Creation of training videos and development of academic practices

GP STRATEGIES INC. Montreal – Short term AML contract Jan 2015 April 2015

GP Strategies is one of the few truly global performance improvement companies out there. Serving more than 16 diverse industries, GP Strategies is a leader in sales and technical training, eLearning solutions, management consulting, and engineering services.

Training Facilitator on AML and Sanctions for HSBC Employees across Canada

THE EDCOMM Group, Montreal–editing of course material contract Oct 2014 to Nov 2014(consultant contract)

Edcomm Banker’s Academy’s Compliance and Regulatory Curriculum covers a variety of subjects, principal of which are the Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) Requirements. Edcomm offers BSA/AML role-based training for financial institutions, covering roles such as the Board of Directors and Senior Management, Branch Management, Tellers, Customer Services Officers (CSOs), Lenders, Operations Staff, Compliance Staff, Trust and Investments Staff, and Universal Bankers. Furthermore, our courses discuss related compliance subjects, including ethics, fraud, security, cyber security, risk, and elder financial abuse (EFA

Consultant work to on the AML Canada Course for the Edcomm Group. Editing and updating the course manual (300pages)

RIA FINANCIAL INC. Montreal AML Compliance Officer July 2013 to August 2014

Performing firm wide Compliance Surveillance of money laundering, terrorist financing and frauds

Handle all compliance related issues including, manual updates, registration with the AMF, audits, and supervisions of suspicious transactions

Supervision and training of staff doing audits

Report and file Suspicious Transaction Reports (STRs)/ Suspicious Activity Reports (SAR)

Train staff on AML

VERSANT PARTNERS INC. Montreal Sept. 2009 to Sept. 2012

Chief Compliance Officer

Performing firm wide Compliance Surveillance, regulation supervision and updates, Anti-Money Laundering Officer and Privacy Officer

Supervision of an Institutionl Dealer, Trading Desk Supervision, Research Supervision

Supervise registration of the dealer

Handle complaints and conduct branch audits

Handle the corporate registration and corporate governance

Branch audits

PWL CAPITAL INC. Montreal March 2008 to April 2009

Chief Compliance Officer

Firm wide Investment Compliance Surveillance, regulation supervision and updates, Anti-Money Laundering Officer and Privacy Officer

Train staff on compliance and AML, and supervise a full service dealer specialized in portfolio management

Supervise registration of the dealer

Handle complaints and conduct branch audits

Designated person for approval of managed accounts

Branch audits

CIBC ASSET MGMT Montreal- contract

Business Controls Manager/Compliance March 2006 to March 2008

Involvement risk management control in all business activity of the mutual fund families of CIBC Asset Management ( Talvest, Renaissance, Sequence, Axiom, CIBC mutual funds, Imperial Pools, and Frontiers.)

Work closely with legal, compliance, marketing, sales, operations, IT, and various other departments to examine and eliminate risk factors

Involvement in all project development and supervision of risk measures

Build procedures involving compliance and risk matters of the firm

Inform, educate and apply regulations within all departments of the firm

AEGON DEALER SERVICES, March 2002 to November 2003

Quebec Regional Compliance Officer

Open the Quebec Head Quarter office of the mutual fund dealer

Build the compliance procedures specific to the Province(compliance manual, all documentations for the firm, and advertisements)

Liaison with the AMF (BSF), and the MFDA and other regulatory organizations

Recruit new representative and branches

Supervise a registration and customer service and adopt procedures accordingly

Act as Officer for the firm in the Province of Quebec

Daily and monthly sales supervision of all Quebec and non resident licensed representatives. Tracking of irregularities and adopting procedures to correct the situations encountered that were non-compliant with industry regulations

Inform the branches and representatives of all compliance and continuing education requirement

OTHER WORK EXPERIENCE

1984 -1992 Investment Advisor - Midland-Walwyn

1992 1998 Royal Trust Investment Counsel – Portfolio Manager

1998-2000 IIROC- Regulatory Compliance Auditor

2000-2001 Canadian Securities Institute – Academic Advisor

ACADEMIC BACKGROUND

FORMAL EDUCATION

- 1997 UNIVERSITY OF QUEBEC (UQAM) (Cert. Bus. ADM.)

- 1984 CHAMPLAIN COLLEGE, D.E.C. (Bus Admin, Fin,,) Lennoxville, Quebec.

ANTI-MONEY LAUNDERING ACADEMIC

-2015 International Compliance Association Certificate in AML and Sanctions – University of Manchester UK

-2014 CAMS exam – Certified Anti-Money Laundering Specialist

CANADIAN AND USA SECURITIES, FINANCIAL PLANNING, CFA, LIFE INSURANCE ACADEMIC

-2019 Branch Manager Course, CSI

-2017 Partners, Directors, and Officers Course (PDO), Canadian Securities Institute

-2017 CSI Mutual Fund Course

-2010 Series 63, Series 38

-2009 Designated Registered Options Principal, (DROP), Canadian Securities Institute

-2008 Partners, Directors, and Officers Course (PDO), Canadian Securities Institute

-2008 Chief Compliance Officer Course(CCO), Canadian Securities Institute

- 2002 Life insurance license, (Quebec, AMF)

- 2001 Certified Financial Planner, Canadian Securities Institute

- 2000 Branch Manager Course, Canadian Securities Institute

- 1997 Quebec Financial Planner, (IQPF)

- 1993 CFA level 1(completed), AIMR (Ass. for Investment Management Research)

- 1990 CANADIAN SECURITIES INSTITUTE, F.C.S.I. (FELLOWSHIP)

- 1988 CANADIAN SECURITIES INSTITUTE, options course.

- 1984 CANADIAN SECURITIES INSTITUTE, Canadian Securities Course (CSC)

OTHER SKILLS AND TECHNICAL TRAINING

Excel, Word Perfect, Word, Maximizer, Power Point, FMC, MPS, Gold Mine, Navi-plan, FP Solutions and other programs.

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