Jacqueline Sanz is the Chief Compliance Officer of Caldwell Investment Management Ltd, an award winning independent investment management firm that has been providing innovative solutions to meet the requirements of investors for nearly three decades. A seasoned professional recognized for regulatory compliance and risk management, Jacqueline serves as the second line of defense, overseeing compliance, acts as the independent executive in mitigating conflicts of interest matters inherent in the industry and serves as liaison between the company the various regulatory authorities. Known for her ability to think strategically, she provides advice and management support to meet key strategic business initiatives and priorities.
An innovative and critical thinker, Jacqueline has a clear understanding of the need to balance regulatory expectations, client needs, business priorities, financial performance and shareholder value. She completed her education in Economics with Honors from Wilfrid Laurier University, and is a Chartered Professional Accountant.
Throughout her career, Jacqueline has demonstrated a significant contribution to the development and implementation of effective risk-based integrated compliance frameworks and programs across multiple entities, international jurisdictions and registrant categories. She possesses a keen foresight and client-centric perspective, that have paired with her natural self-reliance and results-oriented mindset, to make tough decisions, guide others, and align business objectives with optimal compliance risk management.
Based in Etobicoke, ON, Jacqueline is proud to have made an impact in the business landscape, aligning companies and clients with industry best practices in risk management and the CFA Institute Asset Manager Code. She is an active contributor to the industry via her volunteer based contributions to the National Society of Compliance Professionals (Canadian chapter), the Portfolio Management Association of Canada, the Investment Funds Institute of Canada, and has served as Chairperson for the Summit for Asset Management Toronto 2018 and 2019 Compliance Forum conferences.
Day 1: Jun 17, 2020
3:30 pm
3:30 pm
Remote Management and Covid-19: Managing Oversight, Audits, and Other Ongoing Challenges
Work from home mandates presents new challenges for compliance officers. With more remote work, and the challenges surrounding monitoring and other compliance issues, learn how firms are coping with the changes. Join the discussion on how best to address:
- What the temporary blanket relief for registrants and unregistered capital markets participants entails
- The special challenges of overseeing advisors when all parties are working remotely
- Supervising registerable activities remotely
- Increased risks from non-face-to-face interactions and reliance on digital and virtual communications
- Cybersecurity impact to compliance and risks programs
- The current auditing challenges, and what to expect going forward
Assess the compliance challenges faced during Covid-19 as we move into a new year
Day 2: Jun 18, 2020
