Jean Mcconnell

adv6xu@r.postjobfree.com • 403-***-****

linkedin.com/in/jean-mcconnell-a7b37297 • Carstairs, AB, T0M0N0, CA

Risk and Compliance Manager

Analytical and detail-oriented professional with extensive experience in embedding compliance and regulatory considerations into business strategies.

Track record of developing, executing, and revising policies and procedures, while adhering to established regulatory standards. Demonstrated success in conducting audits, supervising compliance programs, identifying and mitigating risks, and providing innovative solutions. Proven expertise in cultivating and nurturing robust relationships with stakeholders, customers, interdepartmental teams, and senior leadership. Accomplished leader; recognized for directing and mentoring cross-functional teams for continuous process and performance improvement. Refined communicator equipped with strong interpersonal, planning, problem-solving, multitasking, time management, and organizational skills.

Core Competencies

Operations Management

Financial Administration

Resource Allocation

Regulatory Compliance

Audit Management

Risk Assessment & Mitigation

Team Building & Leadership

Cross-functional Collaboration

Strategic Planning & Execution

Professional Experience

102056276 Saskatchewan Ltd. Saskatoon, SK 2021 to Present

Senior Branch Manager and Executive Assistant

Provide unprecedented assistance to agency manager in performing different tasks and monitoring daily operations to achieve optimum outcomes. Deliver unparalleled executive assistance as well as compliance support. Supervise branch personnel and operations in absence of branch manager to ensure flawless workflow. Compile operational and risk reports and track logs in Excel to assist management in key decision-making.

●Assessed and slashed risk by driving robust risk mitigation strategies.

●Maximized sales potential by coaching new members on sales strategies.

●Increased efficiency and drove branch revenue by optimizing daily operations.

●Met and exceeded set performance goals by training and mentoring multi-dimensional teams.

●Ensured compliance with government and organizational regulatory standards and procedures.

●Promoted customer loyalty by cultivating strong business relationships with new and existing clients.

●Improved overall efficiency and effectiveness by supervising over 50 branch team members and providing suggestions regarding performance assessments.

Personal Sabbatical/Caregiver, 2019 – 2021

Portfolio Strategies Corporation Calgary, AB 2018 to 2019

Mutual Funds Branch Auditor

Gathered business data from audits and converted into actionable metrics to identify areas of improvement. Ensured affordability and suitability of trades by complying with Outside business activities, Potential Conflicts of interest, and review client files for complete Know Your Client information. Accomplished compliance goals by prioritizing and organizing tasks. Delivered revamped compliance program and documents in coordination with a team member.

●Completed over 100 representative and branch audits in 10 months.

●Achieved targeted objectives by collaborating closely with diverse groups of coworkers.

●Spearheaded various projects from inception to successful completion within timeline and budgetary constraints.

●Adhered to regulatory standards and investigated discrepancies, while checking mutual fund trades and Exempt Market transactions.

Heritage Education Funds Inc. Carstairs, AB 2003 to 2017

Regional Vice President of Compliance

Administered compliance operations across Western Prairie Provinces as well as assisted in B.C., Ontario, and Quebec. Developed audit questions, programs, templates, and compliance letters for various requirements including disciplinary letters. Supported agency directors and branch managers in recruitment and compliance supervision. Assisted training managers in compliant management processes and report filing.

●Maximized customer satisfaction and retention by addressing customer complaints promptly.

●Managed personal yearly budget and accounting for travel to other provinces and all related expense.

●Defined and established long-term goals, strategies, and company policies, while providing organizational leadership and liaising with executive partners.

●Adhered to regulatory standards, including Know your Client, client suitability and affordability, while checking RESP applications.

Additional Experience

Regulatory Risk Officer- Mutual Funds, CIBC, Calgary, AB

Branch Manager, CIBC, Jasper, AB

Various Positions, CIBC, Alberta & BC

Courses & Training

Branch Manager Proficiency Course, Resp Dealers Association of Canada

RESP Dealing Representative Course, RESP Dealers Association of Canada

Business Communication Writing Course, SAIT, Calgary, AB, Canada

The Canadian Securities Course, Canadian Securities Institute, Online

Officers, Partners and Directors Course, The Investment Funds Institute of Canada

Branch Manager Proficiency, Resp Dealers Association

Branch Compliance Officers Course, Institute of Canadian Bankers

Investment Funds in Canada, Institute of Canadian Bankers

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