Nicholas Harris
Branch Examiner @Aviso
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WORK HISTORY
Branch Examiner @Aviso
Toronto, ON, CA
Responsible for 100+ Audits of CIRO (IIROC and MFDA) Partner Branches, Investment Advisors, and Branch Compliance Officers across Canada- Review of New Account / KYC documentation, trade activity, Advisor notes and client authorization. Conduct interviews of Branch Compliance Officers and Investment Advisors- Review of partner websites and Advisor Social Media to ensure regulatory disclosures are being made and any and all outside activities are reported and approved- Prepare, schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures- Communicate audit results to partner Wealth Leaders, CEO’s etc, and follow up on action items- Drive development of our internal policies and procedures in accordance with CIRO regulations- Support the maintenance and improvement of the program. Creating templates, implementing automated processes, pioneering new initiatives and fostering collaboration across departments- Created a training manual and trained 3 new staff members- Responsible for analysis of key data to determine the risk rating of over 1,750 registered locations subject to audit- Build rapport and maintain relationships with all partnering Wealth Leaders/CEO’s, Branch Compliance Managers, and Advisors
EDUCATION
Ontario Tech University
Bachelor of Commerce (B.Com.), Finance, General
ABOUT NICHOLAS HARRIS
I am a regulatory compliance and risk professional within the securities and mutual fund industry. I work closely with senior leadership at regulated institutions across Canada to strengthen compliance frameworks, mitigate risk, and uphold investor protection.With a background as a financial advisor in lending, and investments, I bring practical industry insight to regulatory oversight, allowing me to build strong, trusted partnerships grounded in both regulation and business realities.I am driven by integrity, accountability, and strong professional relationships — ensuring institutions remain compliant, resilient, and investor-focused.
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