Amy Tsai
Chief Compliance Officer, Rbc Ds Retail & Senior Director, Rbc Wealth Management Canada Compliance @RBC Dominion Securities
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WORK HISTORY
Chief Compliance Officer, Rbc Ds Retail & Senior Director, Rbc Wealth Management Canada Compliance @RBC Dominion Securities
Compliance responsibility and oversight of RBC Dominion Securities Retail, RBC Wealth Management Financial Services and RBC Dominion Securities Global (Caribbean). Responsible for branch audits, advisory and complaints, compliance training, business segment compliance policies and marketing initiatives.
EDUCATION
University of Toronto
Juris Doctor
Queen's University
Honours Bachelor of Arts
SKILLS
ABOUT AMY TSAI
Chief Compliance Officer, RBC Dominion Securities Inc. (Retail) & Senior Director, RBC Wealth Management Canada Compliance
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