Joanne Balsamo

Compliance Manager @ Cboe Canada

About

I have extensive experience as a Director of Operations, Regulatory Reporting and Compliance in both the Securities and Listed Derivatives Industry. As a Senior Compliance and Operations Manager, I have hands on experience providing 1st line gatekeeper and Tier Two oversight for all day-to-day processes and trading desk reviews in adherence to CIRO, UMIR, AML, Montreal Exchange, CFTC, CME rules. Accountable for the analysis of operational processes, strengthening controls and improving overall efficiency and effectiveness in the organization. Specialties: o Regulatory reporting and compliance o Daily Operations management o Regulatory business requirements o Fostering strong compliance culture o Streamlining processes, procedures o Risk Management and strengthening controls o New Account Approvals/Suitability o Clearing brokers and exchanges o Customer Service o Futures Credit and Settlements o Futures Clearing o Year-end CRA Tax Reporting

Country

Canada

City

Mississauga

Industry

Financial Services

Skill

Defining Requirements, Team Management, Financial Regulations, Project Governance

Experience

vp- futures and options manager -operations and risk- dfrop

rbc dominion securities

2010-3 - 2011-3 · 1 yr 1 mo

Provided accurate and efficient front to back end administration, processing and service support for Futures Advisors and business lines. Mitigated risk and losses due to market volatiliy, as well as effectively monitored on site market risks. Daily trade supervision as per IIROC regulations, and ensured implementation of all compliance requirements, policies and procedures.. SME in futures risk and regulatory requirements, products, services, processess and controls.

vice president -futures operations manager- afrop

rbc dominion securities

1997-1 - 2010-1 · 13 yrs 1 mo

Managed retail and institutional Futures operations functions for RBCDS Wealth Management including the mitigation of risk, account approval, regulatory compliance requirements, policies and procedures. Approved futures accounts and risk tolerance limits. On going ability to assess creditworthiness and suitability of clients accounts

futures credit and clearing specialist

rbc dominion securities

1987-1 - 1997-1 · 10 yrs 1 mo

manager, canadian regulatory operations

bmo capital markets

2017-10 - Present · 9 yrs

director, listed derivatives operations, bmo

bmo financial group

2012-3 - 2017-10 · 5 yrs 8 mos

At BMO, banking is our personal commitment to helping people at every stage of their financial lives.The truth is, people's needs change: so we change too. But we never change who we are. Which means we'll never waiver from providing our customers the best possible banking experience in the industry. Our incredible team of over 46,000 people is just the tip of the iceberg. You should get to know us. We're here to help.