Lisa Shah
Senior Compliance Business Oversight Analyst @TD
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WORK HISTORY
Senior Compliance Business Oversight Analyst @TD
Toronto, ON, CA
EDUCATION
Seneca Polytechnic
Graduate Certificate, Accounting and Finance
The Maharaja Sayajirao University of Baroda
Bachelor of Science (B.Sc), Mathematics
The Maharaja Sayajirao University of Baroda
Master of Science (M.Sc), Financial Mathematics (Honors)
Seneca Polytechnic
Graduate Certificate, Financial Planning (Honors)
ABOUT LISA SHAH
Compliance Analyst with a strong interest in trading, financial analysis, market structure and liquidity across global markets. I bring hands-on experience from previous roles as an Investment Representative and Mutual Funds Relationship Manager and studies, which gives me a solid foundation in core finance. Currently, I specialize in Personal Account Dealings (PAD) helping firms navigate regulatory expectations while maintaining a strong ethical framework.With experience on both the investment and compliance sides, I’m passionate about bridging market knowledge with regulatory insight to support sound decision-making and protect firm integrity. Always eager to deepen my expertise in market dynamics and contribute to the evolving landscape of finance and compliance.
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