Daniel has worked in financial services for 20 years, including the past 15 years in progressive compliance roles. Daniel has experience with multiple regulators, including the MFDA, IIROC, OSFI, and the OSC. Daniel has worked with medium-sized independent dealers, a large Schedule II bank, and an investment fund manager. Before his foray in compliance, Daniel was a registered financial advisor, assisting retail clients.
Daniel is focused on maintaining and enhancing Agora’s compliance regime in an ever-changing regulatory landscape. Daniel will partner with the business and its clients to create awareness of compliance as well as advise on the risks of new product and service offerings. “Coach, mentor, train, support” is a mantra Daniel stands by to create successful relationships and help maintain a culture of compliance.
Daniel is a graduate of The University of Western Ontario. Daniel completed the Certificate in Investment Dealer Compliance program from the Canadian Securities Institute in 2014.