Leo Hill
Director, Compliance Strategy, Regulatory Inquiries and Enterprise Compliance Delivery @BMO Capital Markets
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WORK HISTORY
Director, Compliance Strategy, Regulatory Inquiries and Enterprise Compliance Delivery @BMO Capital Markets
CA
EDUCATION
Dalhousie University
Bachelor of Science, Psychology
York University - Osgoode Hall Law School
Certificate, Regulatory Compliance and Legal Risk Management for Financial Insitutions
SKILLS
ABOUT LEO HILL
Described by colleagues as trustworthy, ethical, and discreet; confident, and tactful in interactions with individuals at all levels. I am an excellent relationship manager and mentor and possess the ability to multi-task and meet conflicting deadlines. Equally successful in an independent or collaborative environment, I am goal-oriented and customer focused with superior interpersonal and communication skills.Specific experience includes:Compliance and RegulatoryClient complaints, regulatory inquiries and internal investigations.Compliance program development and implementation.Policy research, development and implementation and on-going monitoring.Tier one supervision including new account and exception trade approvals, suitability and leveraged accounts.Email surveillance and financial planning compliance.Maintain currency with national instruments, SRO, FINTRAC and security commission regulations.Leadership and DevelopmentManaged a team of up to 10 mutual funds salespersons, providing ongoing support, group and one-on-one coaching and development to ensure team members remained motivated to contribute to overall business success while maintaining regulatory focus and compliance.Developed various advisor training programs for online and classroom environments.Trained new and existing team members on one-on-one and classroom settings.Participated in policy advisor committee and the development of compliance policies and procedures across multiple dealers.Specialties: Alternative dispute resolutionClient complaint resolution & regulatory inquiriesInvestment dealer compliance (MFDA and IIROC)AML & ATF compliance (FINTRAC Regulations)Consumer banking products and servicesBanking compliance (OSFI)
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