Senior compliance and surveillance professional with over a decade of experience managing Trade Surveillance programs across listed and OTC products in global markets. Currently leading surveillance efforts at Scotiabank, ensuring regulatory compliance across key jurisdictions including North America, Europe, APAC, and Latin America.
Proven track record in designing and optimizing surveillance frameworks to monitor for market abuse, insider trading, layering, spoofing, and other forms of misconduct. Skilled in the implementation and oversight of industry-leading surveillance platforms such as NICE Actimize, Nasdaq SMARTS, and Bloomberg Surveillance. Strong background in regulatory obligations under SEC, FINRA, IIROC, ESMA (MiFID II), FCA, and other global regulatory bodies.
Collaborates closely with technology, legal, front office, and risk partners to embed effective controls and ensure governance across the trading lifecycle. Adept at navigating regulatory change, conducting investigations, and preparing for regulatory exams and audits. Known for building high-performing teams and driving a culture of integrity and compliance.
