Roger Walters

Licensing and Compliance Officer @MSH Americas - Diot-Siaci Group

Toronto, ON, CA

Prepares both the initial and the renewal of corporate business license applications, and annual returns. • Compiles, completes, and submits license applications as requested by Regulatory Authorities.• Monitors the day to day licensing process including the review of applications, and submissions to Regulatory Authorities. • Assist with development and maintenance of compliance processes and checklists based on the region of coverage.• Research and analyze changes in regulatory and legislative requirements.• Assist staff as required with research and background preparation for insurance product review and approval process with national and state regulators.• Conduct AML screening checks on potential and existing clients.• Provide support during internal and external audits.• Approves or declines all World Check positive confirmations through research and review.

Carleton University

BA, Law