Robert Allen's Location
Toronto, ON, CA
Robert Allen's Work
- Vice President, Chief Compliance Officer @ Caldwell Securities Ltd.
- Chief Compliance Officer @ M Partners Inc.
- Director, Trading and Institutional Compliance @ Credential
- Senior Manager, IIROC Compliance and Trade Desk Supervisor @ Credential
- Trading Desk Supervisor, Provincial Branch Manager @ Credential
- Senior Manager, Corporate Compliance @ HSBC
- VP Institutional Trading Supervision @ Raymond James Ltd.
- Sales Compliance Technician @ CIRO / OCRI
Robert Allen's Education
- British Columbia Institute of Technology / BCIT
Business
1991 - 1993
Robert Allen's Skills
- Retail & Institutional Sales & Trading Compliance
- Regulatory Policy Analysis & Development
- Financial Services Compliance
- AML Surveillance, Policy & Procedure Development & Analysis
- Mutual Funds
- Asset Management
- Securities
- Equities
- Fixed Income
- Capital Markets
Robert Allen's Summary
Robert Allen, based in Toronto, ON, CA, is currently a Vice President, Chief Compliance Officer at Caldwell Securities Ltd., bringing experience from previous roles at M Partners Inc and Credential. Robert Allen holds a 1991 - 1993 Business @ British Columbia Institute of Technology / BCIT. With a robust skill set that includes Retail & Institutional Sales & Trading Compliance, Regulatory Policy Analysis & Development, Financial Services Compliance, AML Surveillance, Policy & Procedure Development & Analysis, Mutual Funds and more, Robert Allen contributes valuable insights to the industry. Robert Allen has 3 emails on RocketReach.
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