Andrew Roy
Senior Manager, Compliance @Haventree Bank
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WORK HISTORY
Senior Manager, Compliance @Haventree Bank
Toronto, ON, CA
Leading enterprise-wide compliance strategy for a federally regulated Schedule 1 bank, guiding the organization through a period of rapid growth, heightened regulatory expectations, and increasing digital transformation. My mandate spans regulatory governance, consumer protection, privacy, data governance, and enterprise risk alignment. Working closely with the executive team and board to ensure the bank operates with integrity, transparency, and a strong culture of compliance.Overseeing the modernization of the Regulatory Compliance Management (RCM) program, integrating OSFI, CDIC, and FCAC expectations into business processes, product development, and customer-facing operations. Also, championing the bank\'s data governance evolution, strengthening metadata standards, model input controls, and privacy incident response. Optimizing GRC technology to enhance control testing, issue management, and regulatory reporting, enabling more efficient and predictive oversight.Serving as a primary liaison with regulators and industry bodies, ensuring open communication, timely remediation, and proactive engagement on emerging risks. Also, mentoring compliance professionals and partnering with leaders across the bank to embed a forward-looking, risk averse mindset.KEY ACHIEVEMENTS• No administrative monetary penalties• Partnering with Risk Office and Internal Audit to evolve oversight into a GRC program • Co-chair of Data Governance Working Group• Guest speaker on a panel for the use of artificial intelligence (AI) in GRC• Optimized business intelligence tools to enhance reporting packages • Transitioning to a modern GRC program
EDUCATION
Toronto Metropolitan University
Bachelor of Commerce (B.Com.), Marketing Management and Finance
SKILLS
ABOUT ANDREW ROY
Senior compliance and risk executive with deep experience building, scaling, and modernizing compliance programs for federally regulated financial institutions. My work focuses on transforming compliance from a reactive control function into a strategic enabler - one that strengthens governance, accelerates innovation, and protects consumers while supporting responsible growth.Led enterprise compliance strategy across banking, insurance, and fintech-adjacent environments, with accountability spanning OSFI and FCAC regulatory frameworks, privacy and data governance, AML/ATF oversight, third-party risk, and enterprise GRC modernization. Partnering closely with executive teams and boards to translate regulatory expectations into practical, technology-enabled solutions that enhance transparency, reduce operational friction, and elevate risk culture.My leadership style is grounded in clarity, collaboration, and forward-looking regulatory intelligence. Building high-performing teams, strengthening cross-functional alignment, and ensuring organizations are prepared not only for today\'s regulatory landscape but for the emerging expectations shaping the future of financial services.Passionate about helping organizations deliver fair, transparent, consumer-centric financial products - especially those that expand access and improve financial outcomes for Canadians.Core strengths: Regulatory Compliance Strategy | AML/ATF | Privacy & Data Governance | FCAC/OSFI Liaison | Internal Audit | Risk Assessments | GRC Technology | Board Reporting | Operational Resilience
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