Miguel Berdugo
Chief Compliance Officer @Groupe Financier Botica Botica Financial Group
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WORK HISTORY
Chief Compliance Officer @Groupe Financier Botica Botica Financial Group
Montreal, QC, CA
Regulatory Compliance Leadership: Develop, implement, and oversee the firm’s compliance framework to ensure adherence to CSA, CIRO, OSC, and other provincial/territorial regulations governing investment dealers.CIRO Investment Dealer Application: Lead end-to-end compliance efforts for Botica’s CIRO registration, including policy drafting, governance structuring, and coordination with legal/regulatory teams to meet capital, proficiency, and operational requirements.Policy & Training: Design and enforce firm-wide compliance policies, procedures, and controls (e.g, AML, KYC, suitability, conflicts of interest), delivering targeted training to staff and senior management.Risk Management: Conduct risk assessments, internal audits, and surveillance to identify/mitigate compliance gaps, ensuring alignment with Canadian securities laws and ethical standards.Regulatory Liaison: Serve as primary contact for regulators (CIRO, OSC, etc.), managing inquiries, examinations, and reporting obligations, including timely submission of financial/operational filings.Ethical Culture: Promote a culture of compliance through executive-level advisory, board reporting, and integration of regulatory updates into business strategies
EDUCATION
HEC Montréal
Certificat, Finance et services de gestion financière
Universidad Autónoma del Caribe
Baccalauréat, Administration et finance
SKILLS
ABOUT MIGUEL BERDUGO
I am a senior compliance and risk professional with over 10 years of experience leading regulatory oversight, AML frameworks, and risk governance initiatives across Canadian financial institutions and investment firms.Currently serving as Chief Compliance Officer and previously holding senior compliance leadership roles, I specialize in helping firms navigate complex regulatory environments including CIRO, CSA, OSC, and provincial securities regulators.In addition to in-house leadership roles, I provide independent compliance consulting services to financial firms requiring:• Regulatory compliance reviews• Policy & procedure development• AML program design and optimization• CIRO readiness support• Internal audit preparation• Ad-hoc regulatory advisoryI have supported firms in strengthening compliance frameworks, reducing regulatory risk exposure, and preparing for examinations.I am particularly interested in working with:• Small to mid-sized investment firms• Portfolio Managers• Fintech startups• Firms expanding between Canada and LATAMWith fluency in English, French, and Spanish, I also advise cross-border organizations navigating Canadian regulatory requirements.Additionally, I am actively exploring the integration of AI tools into compliance governance, helping firms adopt emerging technologies responsibly and in alignment with regulatory standards.If your firm requires fractional CCO services, regulatory advisory support, or AML framework development, feel free to connect.
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