Robert Allen Email
Vice President, Chief Compliance Officer @ Caldwell Securities Ltd.
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Robert Allen Location
- Toronto, ON, CA
Robert Allen Work
- 2021 -now Vice President, Chief Compliance Officer @
- 2018 -2021 Chief Compliance Officer @ M Partners Inc
- 2015 -2018 Director, Trading and Institutional Compliance @
- 2014 -2015 Senior Manager, IIROC Compliance and Trade Desk Supervisor @
- 2013 -2014 Trading Desk Supervisor, Provincial Branch Manager @
- 2008 -2011 Senior Manager, Corporate Compliance @
- 2000 -2008 VP Institutional Trading Supervision @ Raymond James Ltd.
- 1998 -2000 Sales Compliance Technician @
Robert Allen Education
- British Columbia Institute of Technology / BCIT
Business
1991-1993
Robert Allen 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
- Derivatives
- Investments
- Financial Services
- Trading
- Risk Management
- Options
- Portfolio Management
- Wealth Management
- Anti Money Laundering
- Financial Markets
- Due Diligence
- Hedge Funds
- Retail And Institutional Sales And Trading Compliance
- Policy And Procedure Development And Analysis
- Aml Surveillance
- Regulatory Policy Analysis And Development
Robert Allen Summary
- Robert Allen, based in Toronto, ON, CA, is currently a Vice President, Chief Compliance Officer at Caldwell Securities Ltd.. Robert Allen brings 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 has 3 emails on RocketReach.
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Top Caldwell Securities Ltd. Employees
Robert Allen
Vice President, Chief Compliance Officer
Toronto, ON, CA
Robin Barstow
Portfolio Manager and Investment Advisor
Toronto, ON, CA
Rohmin Raisi
Senior Securities Operations Specialist
Mississauga, ON, CA
Alexander Hutchison
Investment Advisor
Toronto, ON, CA
Riyah Adamjee
Private Equity Intern
Toronto, ON, CA
Vanessa Paradiso
Administrative Assistant
Toronto, ON, CA
Vincent John
Vice President
Whitby, ON, CA
Liam Owen
Investment Advisor
Toronto, ON, CA
Kristin Larsson
Office Manager Sales Assistant
Consecon, ON, CA
Fraser Ruth
Investment Advisor
Toronto, ON, CA
Sofia Ceolin
Social Club Member
Toronto, ON, CA
Siddharth Mittal
Senior Accountant
Mississauga, ON, CA
Celma Freitas
Executive Assistant
Toronto, ON, CA
Elizabeth Naumovski
Vice President, Marketing
Toronto, ON, CA
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