Alessandro Tocco
Chief Compliance Officer @Systemic Trust
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WORK HISTORY
Chief Compliance Officer @Systemic Trust
Calgary, AB, CA
As Chief Compliance Officer, I oversee the Regulatory Compliance Framework and Compliance Program, guiding compliance monitoring, testing, and risk management across multiple jurisdictions. I serve as an independent oversight authority with unrestricted access to Senior Management, Executive Officers, and the Board, ensuring thorough regulatory compliance. To keep our policies and procedures aligned with legal and regulatory standards, I maintain and regularly update them, securing annual approval from the Board.I conduct comprehensive risk assessments that span client relationships, geographic locations, and service offerings, while also leading KYC process reviews to uphold our AML/ATF policy. In managing compliance resources, I ensure that human and technological assets are properly allocated to support our ongoing AML/ATF and sanctions obligations. Additionally, I direct informal self-assessments and third-party audits, identifying gaps and presenting any deficiencies, action plans, and resolutions to the Executive Committee.My role involves developing risk assessment procedures for money laundering and sanctions compliance, implementing Enhanced Due Diligence (EDD) measures for high-risk cases. I also create and maintain an AML/ATF and sanctions training program, ensuring all employees and agents complete annual training. As a trusted advisor, I provide business units and the Executive Committee with insights on compliance best practices, regulatory expectations, and global developments in digital currency compliance.I act as the Company’s liaison with FINTRAC, law enforcement, and regulatory bodies, managing licensing, reporting, and compliance audits in collaboration with legal counsel. Through these interactions, I support both the Company\'s compliance initiatives and cooperative relationships with regulators and law enforcement.
EDUCATION
Saïd Business School, University of Oxford
Oxford Algorithmic Trading Programme
Canadian Securities Institute
Canadian Securities Course I & II, Banking, Corporate, Finance, and Securities
Mount Royal University
Bachelor of Business Administration (BBA), Management Major and a Minor in Financial Services
CFA Institute
Completed Level I
ABOUT ALESSANDRO TOCCO
Seasoned leader with a wealth of experience driving regulatory change management, implementation, and testing within the financial industry across Canada and Europe. Adept at spearheading strategic initiatives focused on AML (Anti-Money Laundering) and Compliance, ensuring alignment with regulatory requirements.Recognized for my project-focused mindset and unwavering commitment to meeting strict deadlines, I excel in overseeing the execution of complex initiatives. I have successfully led cross-functional teams in the development and implementation of robust strategic plans, addressing AML and Compliance priorities.With a comprehensive understanding of regulatory landscapes in both Canada and Europe, I navigate the intricacies of compliance frameworks with ease. By leveraging my expertise, I guide organizations through change management processes, ensuring smooth transitions and compliance with evolving regulations.With hands-on experience in developing, testing, and deploying AML Transaction Monitoring and Market Surveillance alerts, I possess an extensive understanding of AML frameworks and local reporting commitments. I am adept at mapping out critical processes using flow charts and engaging in solution-oriented discussions with technical expertise.I played a leading role in developing an AML suite of systems encompassing KYC/KYB screening and onboarding, transaction monitoring (fiat and crypto), Travel Rule compliance, and FIU filing.Furthermore, I have a strong drive to build an effective financial crime prevention community, as evidenced by my successful launch of the Association of Certified Financial Crime Specialists Western Canada Chapter. This initiative fosters collaboration, knowledge sharing, and professional development within the industry.
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