Nancy Edouard

Professional working in the securities for over 10 years with good knowledge of regulation and its application. Asides from ensuring that policies and procedures are being respected, I also act as an ally and partner to consultants. I provide additional coaching or explanation, while assisting consultants in their day to day practice. I was told the following by consultants that I have supervised or currently supervised: “Compliance is not easy, but you are making it easy for us with your presence and your active participation in our practice, you understand our reality.” Seeing how consultants becomes more compliant or understanding of regulations with a better cooperation is such a positive result as I aim to be impactful and result oriented in my role. 

Supervising consultants (securities and mutual funds) under the rules applicable to Tier 1 supervision. Establishing an dynamic approach with active listening. Always available to consultants and also very approachable.  In supervision : approving accounts and kyc updates, trade surveillance, social  media and email surveillance, outside activities surveillance. Assisting with few operational deficiencies or missing information, providing problem solving solutions. Coaching when necessary. Had done registration for consultants and portfolio managers, corporate projects in onboarding new consultants, supervising new portfolio managers, correcting performance reports , first review of DD audit, reporting RAC and CE to regulators, assisting in registration in the US through FINRA, follow up with regulators, assisting with portfolio management account opening and review of IPS, assisting and reviewing product coding to name a few.

Certificate in Investment Dealer Compliance, PDO (Partners, Directors and officers), CCO (Chief Compliance Officer), BMC (formerly Branch Manager Course), Effective Management Seminar, CSC and CPH (Securities course and Conduct and Practice Handbook), BA in Political Science. Looking to register for CIM and redo DFOL.