With over 25 years of management/legal/compliance expertise in financial services for broker-dealers and insurance companies, including 20 years involvement with US securities, Alex leads by example.
As a registered principal for the firm, he is responsible for designing, implementing and enforcing compliance and supervisory procedures. Alex also supervises OSJ Managers and other registered representatives. Alex uses his diverse background and experience in the compliance arena – looking at issues from both a compliance and sales point of view.
Having worked at a number of leading financial and insurance companies, Alex has compiled an impressive list of achievements, including spearheading the incorporation of an insurance company, two broker-dealers, a Series Fund and an investment advisor.
Other lead responsibilities have included compliance, sales and marketing, relationship management, departmental management, project management, and product development. Alex spent the first eight years of his of his career providing a broad range of legal services to a multinational insurance corporation.
Alex holds a BA from the University of Toronto and a Bachelor of Law from the University of West Ontario.