Bill is a Senior Compliance Consultant at AUM Law, with extensive knowledge working within wealth management and distribution firms. In his role, he provides senior level advisory services to registered individuals and dealers, on all aspects of their securities regulatory compliance obligations and the implementation of securities regulatory requirements. He has particular expertise in navigating compliance for dealers registered with either the Investment Industry Regulatory Organization of Canada (IIROC) or the Mutual Fund Dealers Association of Canada (MFDA). Bill is well positioned to assist firms with understanding and navigating the implications arising from the consolidation of those two self-regulatory organizations. His compliance advisory services include securities distribution compliance for a range of registered dealer firms, as well as engaging with securities regulators in connection with conduct matters, complaints, investigations, audits and remediation plans. He also provides support for the application and interpretation of complex business conduct policies and procedures.
Prior to joining AUM Law, Bill managed very large compliance teams and acted as chief compliance officer for the wealth management arms at two major Canadian financial institutions. He oversaw wealth management compliance for both the IIROC and MFDA channels nationally. He has also been responsible for anti-money laundering, privacy compliance matters and securities registration matters.
Bill is also an experienced lawyer and was formerly a member and chair of the IIROC Ontario District Council and the IIROC Ontario District Council Registration Sub-Committee. He is currently a member of the IIROC Hearing Panel, and formerly sat on the MFDA Policy Advisory Committee. He is a well-respected speaker at industry conferences and events and writes articles on topics of interest to the financial services industry.
- LLB, University of Toronto Law School
- M.Phil., London School of Economics (Government)
- M.A., University of Western Ontario (Politics)
- B.A. (Hon), University of Western Ontario (Politics)
- Manulife – Manulife Securities (2014-2022)
- Scotiabank – Scotia Securities (2009-2014)
- Worldsource Wealth Management (2006-2009)
- Mutual Fund Dealers Association of Canada (MFDA) (2004-2006)
- Law Society of Ontario (2001-2004)