Steven Shulman's Location
Toronto, ON, CA
Steven Shulman's Work
- AVP, Compliance Governance and Testing @ Raymond James Ltd.
- Trading Conduct Examiner @ CIRO / OCRI
- Business Conduct Examiner @ CIRO / OCRI
- Retail Compliance Officer, Audit @ BMO Nesbitt Burns
- Retail Compliance Officer, Client Complaints @ BMO Nesbitt Burns
- Client Service Specialist @ BMO InvestorLine
Steven Shulman's Education
- York University
Bachelor of Arts (Sociology)
1992 - 1996 - Canadian Securities Institute
Canadian Securities Course
2001 - 2001 - Canadian Securities Institute
Conduct and Practives Handbook
2002 - 2002
- York University – Faculty of Liberal Arts & Professional Studies
Certificate (Mediation/Dsipute Resolution)
2003 - 2004 - Canadian Securities Institute
Trader Training Course
2010 - 2010 - Canadian Securities Institute
Chief Compliance Officers Qualifying Exam
2013 - Canadian Securities Institute
Branch Managers Course
2014 - Canadian Securities Institute
Understanding Investment Dealer Business Units
2015 - 2015 - Canadian Securities Institute
Applied Investment Dealer Compliance
2015 - 2015 - Canadian Securities Institute
Certificate in Investment Dealer Compliance
2015 - 2015
Steven Shulman's Skills
- Securities
- Financial Services
- Mutual Funds
- Equities
- Capital Markets
- Policy
- Risk Management
- Auditing
- AML
- Trading
Steven Shulman's Summary
Steven Shulman, based in Toronto, ON, CA, is currently a AVP, Compliance Governance and Testing at Raymond James Ltd., bringing experience from previous roles at IIROC (Investment Industry Regulatory Organization of Canada) and BMO Nesbitt Burns. Steven Shulman holds a 1992 - 1996 Bachelor of Arts in Sociology @ York University. With a robust skill set that includes Securities, Financial Services, Mutual Funds, Equities, Capital Markets and more, Steven Shulman contributes valuable insights to the industry. Steven Shulman has 2 emails on RocketReach.
5 free lookups per month.
No credit card required.
If you need more lookups,
subscriptions start at $48 USD/month.
Not the Steven Shulman you were looking for?
Find contact details for 700 million professionals.
Others Named Steven Shulman
-
2
-
5+5+
-
11
-
ViewSteven Shulman
Chairman and Chief Executive Officer at Magellan Health
Avon, Connecticut, United States35 -
35+
-
5+5+
-
21
Top Raymond James Ltd. Employees
-
32
-
11
-
52
-
21
-
21
-
2
-
View
Stephanie Holmes-Winton
Financial Advisor at Raymond James Ltd.
Halifax Regional Municipality, NS, CA45 -
View
Moira Rosser-Peterson
Senior Manager, Corporate Communications and Marketing at Raymond James Ltd.
Qualicum Beach, BC, CA21 -
34
-
5
-
5+4
How It Works
Get a Free Account
Sign up for a free account. No credit card required. Up to 5
free lookups / month.
Search
Search over 700
million verified professionals across 35 million companies.
Get Contact Info
Get contact details including emails and phone numbers
(business & personal).
G2Crowd Trusted
300K+
Plugin Users
