Risky Women Podcast | Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin

Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.

Amy Aubin is the Chief Compliance Officer of Waypoint Investment Partners Inc., an independent wealth management firm, and of True Exposure Investments, Inc., an investment fund manager. Formerly the Chief Compliance Officer at Gluskin Sheff + Associates Inc., the CFO and CCO at AGF Trust Company, and an auditor and consultant with PricewaterhouseCoopers, she has breadth and depth of experience in the financial services sector in Canada. A fan of continuing education, Amy has accumulated several professional designations throughout her professional journey and taught audit and accounting at a local university.  Amy  is a Chartered accountant (CPA, CA), a Certified Information Systems Auditor, a Certified Anti-Money Laundering Specialist and a Chartered Financial Analyst charterholder.  Now working for two start-up companies, she has taken on broad roles including most the back office and accounting functions and compliance roles.

Jackie Sanz has joined Protiviti as a Managing Director in the Risk & Compliance Solution. Based in Toronto, Jackie will serve as the Solution leader for Canada and focus on the financial services industry, particularly on capital markets compliance and operations. She brings to Protiviti more than 30 years of experience in risk and compliance within the capital markets segment. Prior to joining Protiviti, Jackie held various C-Suite roles including, Chief Compliance Officer, Chief Privacy Officer and Chief Anti-Money Laundering Officer developing, implementing, and managing compliance operations of asset management organizations providing investment solutions to institutional and retail clients in Canada and internationally. Jackie began her career with PwC as a part of its Financial Services Assurance team in Canada in Luxembourg.