Cecilia Basran
Assistant Vice President Compliance @Global X Canada
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WORK HISTORY
Assistant Vice President Compliance @Global X Canada
SKILLS
ABOUT CECILIA BASRAN
Senior Compliance Manager | Expert in Financial Regulation & Risk Management in Sales Practices to ensure the regulatory requirements are adhered to and the potential risk is prevented. Sharing industry information and providing consultative advice and risk assessments with business partners to meet regulatory requirements.Areas of Expertise: Compliance and Risk Management • Mentoring and Team Development • Corporate Governance • Policies and Procedures Administration • Securities Industry and Regulation • National Instruments 81-105 Mutual Fund Sales Practices • National Instrument 81-102 Mutual Funds • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations • Regulatory Audit Remediation
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