Profile

A senior financial professional with seven years’ experience in both large and small organizations.  Proven organizational, analytical, problem solving, and communication skills.  Appreciates the importance of understanding broad goals and strategies as well as details.  Firmly committed to building cooperative relationships with colleagues at all levels.

Business Background

ELLIOTT & PAGE LIMITED								    2000 - 2001
(Canadian Investment Subsidiary of ABC Financial Corporation)
Senior Compliance Analyst
* Managed the monitoring of over 40 Canadian funds, through one staff, including mutual, pooled, pension, and segregated to ensure that funds were managed in accordance with regulatory and client imposed restrictions.
* Analyzed legislation and industry best practices to determine their impact on company policies, procedures, and systems, and implemented required changes.
* Extensively revised educational materials on product specific regulations and developed and delivered presentations to investment management, marketing, and compliance staff.
* Wrote new policies and procedures for institutional marketing which involved meeting with various groups to determine current procedures and relevant issues and reviewing applicable regulations. 
* Provided regulatory input on standard client investment management agreement, client disclosure document, and corporate securities lending and reverse repurchase agreements.
* Reviewed draft investment management agreements prepared by new clients, offered advice on clarification of investment objectives, restrictions, and performance benchmarks.
* Assessed automated exception reporting system capabilities, overhauled test specifications for the system, and reduced false exception rate by at least 50%.
* Created Business Objects reports to meet departmental needs. This reduced time required to perform daily compliance monitoring by approximately 25% and provided portfolio managers with more sophisticated and useful information.

CANSO INVESTMENT COUNSEL LTD./CANSO FUND MANAGEMENT LTD.	    1997 - 2000                
Vice President, Finance
* Co-founded the Canso companies; rented office space, purchased office equipment, registered corporate names, set up accounting and portfolio management systems, and negotiated contracts with third party service providers.  
* Designed the company’s compliance policies and procedures and provided input on portfolio management and compliance computer system’s design.
* Wrote, implemented and revised corporate personal investing policy and corporate private health services plan.
* Performed corporate actions, securities administration, and trade booking and settlement functions. 
* Managed relationships with third party providers of custody, unitholder record keeping, securities pricing, and fund valuation services which ensured accuracy and maintained open communication.
* Implemented the creation, closure, and sale of various mutual funds.  Drafted initial prospectuses and notices to unitholders regarding fund closures and worked with two law firms on the sale of one fund.
* Coordinated registration of entity and investment personnel with the Ontario Securities Commission.
* Performed corporate accounting functions; audit preparation, cash flow management, credit line negotiation, tax planning, inter-company transfers, and capital dividend payments.

FOYSTON, GORDON & PAYNE INC.						    1994 - 1997						    
Corporate Accountant
* Performed a variety of accounting functions including budgeting, cash flow management, audit preparation, client invoicing and fee calculations, accounts payable and receivable, payroll, employee tax reporting, calculation of employee profit sharing, and administration of employee benefits.
* Increased the quality of financial reporting by introducing new reports and redesigning existing ones. Reduced time required to produce month- and quarter-end financial statements by roughly 50% which contributed to improved profitability.
* Registered the company and the portfolio managers with various provincial securities commissions and ensured that all continuing registration requirements were met.
* Managed the corporate actions function and assisted with trade booking and settlement.
* Involved with numerous projects to make the company’s investment performance measurement compliant with AIMR (Association of Investment Management and Research) standards.
* Undertook human resource functions which included working with search firms to fill new or existing positions, interviewing candidates, and providing ad hoc employee assistance services.

JUNIOR ACHIEVEMENT OF METRO TORONTO AND YORK REGION		    1992 - 1994			                
Accountant and Systems Administrator
* Coordinated the budgeting process for seven internal departments, monitored adherence to approved budgets, prepared for the annual audit, administered employee benefits, and performed the accounts payable and receivable, payroll, and employee tax reporting functions.
* Assumed the majority of tasks performed by an independent CA employed on a part-time basis thus decreasing expenses and improving the timeliness of financial reporting.
* Performed systems administration functions including administering the organization’s Novell LAN, installing software and hardware, and setting up PCs at schools hosting the organization’s programs.

HARRISON ASSOCIATES LTD.							   1989 – 1992   
Office Manager
* Wrote corporate procedures manual, designed and implemented filing system, coordinated the relocation of the company, and hired and supervised temporary project staff.

Education

Certified General Accountants Association of Ontario, CGA Designation - 1999
Queen’s University, Honours BA (First Class) English - 1989
Queen’s University, Honours BA (First Class) English and History - 1988

Professional Development

Manulife Financial, various courses: Introduction to Type in Organizations - 2001
 How to Motivate Staff - 2001, Conducting Successful Performance Reviews - 2000
Developing Procedures, Policies, and Documentation - 2000
Canadian Securities Institute, Partners, Directors and Senior Officers Exam - 1998
Canadian Securities Institute, Canadian Securities Course - 1995

Computer Skills

Business Objects, FoxPro, Bloomberg, FRI Raison, MPower, Microsoft Office 2000,
WordPerfect 8, Lotus Notes, various regulatory web sites and on-line services.

Interests

Designing and Making Furniture, Choral Singing, Music, Reading, and Cycling