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 2 emails on RocketReach.
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Top Caldwell Securities Ltd. Employees
Kuba Orzechowski
Vice President, Operations and Business Development
Mississauga, ON, CA
Robert Allen
Vice President, Chief Compliance Officer
Toronto, ON, CA
Robin Barstow
Portfolio Manager and Investment Advisor
Toronto, ON, CA
Alexander Hutchison
Investment Advisor
Toronto, ON, CA
Terry Garcia
Investment Advisor
Oakville, ON, CA
Riyah Adamjee
Private Equity Intern
Toronto, ON, CA
Komal Chheda
Executive Assistant and Investment Advisor
Toronto, ON, CA
Nicol MacNicol
Vice President and Portfolio Manager
Toronto, ON, CA
Vincent John
Vice President
Whitby, ON, CA
Sally Haba
Vice President, Manager Operations
Toronto, ON, CA
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