Centre for Business Compliance Transformation Conference

Main Content

Fostering Trust and Gaining a Competitive Edge: Efficient Resource Management and Risk Mitigation

Compliance plays a large role in our ever-changing world and is constantly transforming, from building trust with employers and employees, to creating a competitive advantage through optimizing resources and adopting new technology.  We are constantly avoiding risks while maximizing the value of our efforts. The Compliance Transformation Symposium will explore a wide range of topics relevant but not limited to:

  • Transforming your compliance function
  • Maximizing the value of your regulatory activities
  • Prioritizing your most critical risks
  • Rapidly responding to regulatory challenges
  • AI, Data analytics, predictive analysis
  • Adopting technology-enabled, data-driven solutions
  • Streamlining labour-intensive and manual processes
  • Improving employee engagement while saving time & reducing costs
  • Impact of Generative AI 

Who Should Attend

  • Compliance & Risk Management Professionals
  • Corporate Legal Counsel Internal & External Auditors
  • Senior Corporate & Government executives Finance & Accounting
  • Management Lawyers, Consultants & Advisors

What Your Ticket Gets You

  • Lunch and reception
  • Light Breakfast
  • Networking with Compliance and Risk Management leaders


8:00 a.m.Registration / Breakfast 
8:45 a.m.Welcome Remarks 
9:00 a.m.Panel

Managing Compliance Risk in a Market of Accelerating Change 

Panel Chair: 
Brigitte Goulard,
Senior Counsel, Torys LLP

  • William Donegan, Senior Compliance Consultant, AUM Law 
  • Wayne Bolton, former Chief Compliance Officer, Edward Jones 
  • Junaid Subhan, VP Legal Affairs & Chief Compliance Officer, Sagard 

Trends in regulatory changes, Conduct Risk, Visibility on Private Funds, Off-Channel Communications. What are the related compliance challenges organizations are facing today? How do risk appetite and technology adoption intersect with these discussions? Operating in more than one jurisdiction? Update on recent rulings and cases impacting firms. 

10:00 a.m.Panel

Regulatory Framework Update

Panel Chair:
Naomi Andjelic Bartlett, Senior Vice President, Chief Compliance Officer and Chief Privacy Officer, IGM Financial Inc.


  • Felicia Tedesco, Deputy Director, Operations, Registration, Inspections and Examinations, Ontario Securities Commission
  • Suzanne Lasrado, Vice-President of Member Services & Innovation, Canadian Investment Regulatory Organization (CIRO) 
  • Antoinette Leung, Head, Financial Institutions and Mortgage Brokerage Conduct Financial Services Regulatory Authority 
  • Marc Rotter, Counsel, Ropes & Gray

The role of the OSC, FSRA, SRO, OSFI and U.S. regulatory authorities and how they promote an environment conducive to compliance with regulatory initiatives. The role they can play in assisting businesses to achieve compliance targets.

10:45 a.m.Networking Break 
11:00 a.m.Panel

The “Lab Concept” - Innovation in Compliance

Panel Chair: 
Chris Crowe, Founder, CMBYND, Inc. 


  • Anne Sonnen, SVP & Chief Compliance Officer at SunLife
  • Ghaleb El Masri, Managing Director & Partner, ADAPTOVATE
  • Behzad Salehoun, Head of Insurance, Technology & Business Consulting, Capco

Innovation in Compliance. The evolution of Compliance. Integration of new technologies. Experimenting to enhance corporate processes. 

An approach to start building a “Compliance Lab”.

What you will learn about Innovation and Experimentation in the Compliance Function

Addressing the Scale of Change and Risk in Compliance
The increasing scale of change and risk in compliance
The limitations of traditional people processes in managing compliance risks
How AI and Agile methodologies can mitigate risks and protect shareholder value

AI’s Impact on the Labor Force in Compliance

The role of AI in transforming business operations
How AI can enhance compliance processes and decision-making
Balancing human and AI capabilities in compliance functions

Agile Thinking in Compliance

Introduction to Agile thinking and its relevance to compliance
How Agile methodologies can help compliance functions adapt to rapid changes
Examples of how to think about Agile implementation in compliance

Large Language Models and AI in Compliance

The role of large language models in enhancing compliance activities
Specific examples of how AI has improved speed and accuracy in compliance
The necessity of experimentation and labs for AI integration

The Role of Experimentation and Labs in Compliance

The purpose of a compliance lab and its distinction from product development
How experimentation can drive operational efficiencies and innovation
The impact of experimentation on the effectiveness of Chief Compliance Officers (CCOs)

12:00 p.m.Lunch


1:10 p.m.AnnouncementAnnouncing George Brown College’s graduate certificate in Compliance, Fraud Detection and Ethics
1:30 p.m.Panel

AML - A Current Update

Panel Chair:
Bryan Tamblyn, Chief Compliance Officer, Chief AML Officer, Chief Privacy Officer, Cidel


  • Ivan Zasarsky, Partner, National Financial Crime Practice Leader, PwC Canada
  • John Boscariol, Leader International Trade and Investment Law Group, McCarthy, Terrault LLP
  • Sue-Ling Yip, Partner, Forensic & Financial Crimes Practice, KPMG
  • Bob Kapur, Director, Financial Crime Compliance and MLRO - Canada, Enterprise Compliance, Sun Life Canada 
  • Marcelle Dadoun, Principal, Program Design and Advisory, the AML shop
  • Tony Lalonde, Vice President, Global AML/CFT, Scotiabank; CAMLO - Jarislowsky Fraser & MD Financial

TD faces $2 billion in fines. What can you learn? What should you be doing now to make sure you are not next. Canadian economic sanctions — complying with change in law from last June. Remediation Activities.
2:45 p.m.Break 
3:00 p.m.Panel

RegTech – Adopting AI & Technology for Compliance

Panel Chair:
Jacqueline Sanz, Managing Director, Canada Lead of Risk & Compliance Solutions, Protiviti


  • Loren Schwartz, Senior Director of Regulatory Technology, CIBC Capital Markets
  • Sandra Persaud, Director, Risk Advisory, Deloitte Canada
  • Shameel Thakrar CPA, CA, Vice President, Compliance Operations & Strategic Initiatives, IG Wealth Management

How to use RegTech solutions to help overcome compliance and regulatory hurdles and reduce compliance costs. The impact of Generative AI looking at three key aspects:
  1. How can we leverage generative AI as a compliance tool?
  2. If your business is using generative AI, ensuring that they are meeting the relevant laws and monitoring its use
  3. Understanding Canada's privacy legislation around generative AI "breaches"  
4:00 p.m.Networking Reception 


Naomi Bartlett

Naomi Andjelic Bartlett, Senior Vice President, Chief Compliance Officer and Chief Privacy Officer, IGM Financial Inc.

About Naomi Andjelic Bartlett

Naomi Andjelic Bartlett is Senior Vice President, Chief Compliance Officer and Chief Privacy Officer for IGM Financial Inc.  She is responsible for the overall compliance program across the wealth management, asset management and corporate compliance functions for the IGM group of companies. Naomi has extensive legal and compliance experience both in private practice and in the financial services industry including responsibilities as Chief Compliance Officer for IIROC full service and order execution-only, trust, insurance agency, mutual fund manager and private investment counsel businesses.  

Wayne Bolton, former Chief Compliance Officer, Edward Jones

About Wayne Bolton

Wayne brings a wealth of compliance expertise, having served in key roles at prominent financial institutions. He served as the chief compliance officer for Edward Jones in Canada and held leadership positions at Invesco, where he oversaw compliance across multiple business units in North America. Wayne also played a pivotal role in shaping compliance strategies at CIBC's Wealth Management division as its vice president of Compliance. 


John Boscariol, Leader International Trade and Investment Law Group, McCarthy, Terrault LLP

About John Boscariol

John is head of the firm’s International Trade & Investment Law Group and a partner in our Litigation Group. He helps clients understand how international trade agreements and foreign investment laws impact their business. John assists clients through the tangle of regulatory impediments faced by Canadian companies seeking to expand their business globally, and to international businesses entering the Canadian market.


Chris Crowe

Chris Crowe, Founder, CMBYND, Inc.

About Chris Crowe

Chris founded his firm CMBYND to inspire and deliver compliance innovation.

He leads a team of strategic hands-on consultants on transformational projects with results achieved in capital markets, wealth, retail banking, operations and leading edge bank-wide solutions.


William Donegan, Senior Compliance Consultant, AUM Law

About William Donegan

Bill is a Senior Compliance Consultant at AUM Law, with extensive knowledge working within wealth management and distribution firms. In his role, he provides senior level advisory services to registered individuals and dealers, on all aspects of their securities regulatory compliance obligations and the implementation of securities regulatory requirements. 


Ghaleb El Masri, Partner and Toronto Managing Director, ADAPTOVATE

About Ghaleb El Masri

Ghaleb helps organizations start, execute, and deliver their agile business transformation. He has worked with executives and teams across the different phases of the business cycle, including the setup of greenfield operations, scaling new business lines, the optimization and turnaround of underperforming businesses, and divestments and integrations. 


Marcelle Dadoun, Principal, Program Design and Advisory, the AML shop

About Marcelle Dadoun

With over 20 years of compliance experience, Marcelle came to the AML shop after serving in senior level roles with international banks and has since become a thought leader for emerging and newly regulated industries, such as crypto currency, payment services providers and prepaid card powered neo-banks. She specializes in the development and maintenance of policies, procedures, risk assessments and training programs. Marcelle serves on several government and industry advisory groups and is a Certified Anti-Money Laundering Specialist and has additionally obtained a certification in risk management from the Association of Certified Anti-Money Laundering Specialists, as well as the Chainalysis Inc. Cryptocurrency Fundamental Certificate.


Bridgette Goulard

Brigitte Goulard, Senior Counsel, Torys Chris Crowe, Founder, CMBYND, Inc.

About Brigitte Goulard

Co-head of Torys’ Consumer Protection practice and Fintech group, Brigitte has more than 30 years of experience working in the financial services industry, including the banking, insurance and financial cooperative sectors. With roles ranging from general counsel and policy management to serving as the Deputy Commissioner of the Financial Consumer Agency of Canada for nearly five years, Brigitte has deep knowledge of the legislative framework applicable to financial institutions in Canada, with a particular emphasis on consumer protection matters.


Bob Kapur, Director, Financial Crime Compliance and MLRO - Canada, Enterprise Compliance, Sun Life Canada

About Bob Kapur

Bob has nearly 30 years of experience in fighting financial crime, most recently as the Director of Financial Crimes & Money Laundering Reporting Officer for Sun Life Canada, his role since 2022. He was previously the Deputy Chief AML Officer at a “big 5” Canadian bank and has consulted for other domestic and international companies in the banking, insurance, and securities sectors. 


Tony Lalonde, Vice President, Global AML/CFT, Scotiabank; CAMLO - Jarislowsky Fraser & MD Financial

About Tony Lalonde

Tony is a well-rounded, dynamic and results-driven senior financial services executive with a large, diverse network and proven success in strategic and operational design, business development and growth, sales management, legal & regulatory affairs, compliance and oversight. Trilingual (English, French, Spanish). Keenly interested in corporate and competitive strategy and execution. Passionate about interdisciplinary team leadership and coaching.


Suzanne Lasrado, Vice-President of Member Services & Innovation, Canadian Investment Regulatory Organization (CIRO)

About Suzanne Lasrado

Suzanne has had an illustrious career with the regulatory organization spanning almost two decades. She joined the Investment Dealers Association in the Financial & Operations Compliance group in 2005 and ascended through various managerial roles within FINOPS to become Director. In 2021, her responsibilities extended to the organization’s strategic function when she assumed the position of Director, Member Regulation & Strategy at IIROC, before moving on to her current role.  


Antoinette Leung

Antoinette Leung, Head, Financial Institutions and Mortgage Brokerage Conduct, Financial Services Regulatory Authority        

About Antoinette Leung

Antoinette is the Head of the Financial Institutions and Mortgage Brokering Conduct team. Her team is responsible for conduct supervision of the credit unions, mortgage brokerages and mortgage administrators, and related policy making. Antoinette also chairs the Mortgage Broker Regulators’ Council of Canada. MBRCC is a forum for Canadian regulators to cooperate and share information to identify trends and address common issues.

Prior to joining FSRA, Antoinette was a member of the senior management team at the Ontario Securities Commission. She had extensive experience in compliance, risk and policy-making with respect to mutual fund dealers, investment dealers, clearing agencies, trade repositories, self-regulatory organizations and investor protection funds.  She had chaired and represented the OSC on various international and domestic regulatory committees driving harmonization in policy and application.  She completed a secondment at Payments Canada in 2017-2018 as Director of Financial Market Risk, where she was responsible for leading the development of the risk and settlement models for Canada’s wholesale, retail batch and real-time payment systems in collaboration with the financial sector and the Bank of Canada.


Sandra Persaud, Director, Risk Advisory, Deloitte Canada

About Sandra Persaud

Sandra is a director in Deloitte’s Regulatory Risk Advisory practice, with over 12 years of industry experience
within financial services, specializing in technology-enabled compliance transformation. Sandra's experience spans anti-money laundering, suitability/conduct, trade surveillance, GRC and, most recently, financial crimes programs. She has been active in the RegTech community since 2017, participating in conferences globally, leading workshops for clients and evaluating new entrants.


Marc Rotter

Marc Rotter, Counsel, Ropes & Gray

About Marc Rotter

Marc concentrates his practice on advising clients on securities law matters and capital market transactions, including public (closed gap) offerings and private placements and regulatory issues.  Marc also advises clients on securities law issues related to blockchain, cryptocurrency and non-fungible tokens (NFT's).

Behzad Salehoun, Head of Insurance, Technology & Business Consulting, Capco

About Behzad Salehoun

Behzad specializes in strategic advisory and tactical delivery of business objectives through technology enablement. He has experience in large scale transformation, innovation strategy, process improvement & agile enablement, technology strategy, people & org development, CX/UX design/thinking, Data & AI, DevSecOps, MLOps, software development, cybersecurity, fraud, cloud infrastructure, business continuity planning and resilience. He has successfully delivered on industry-leading solutions for top Canadian and Global clients.


Jacqueline Sanz

Jacqueline Sanz, Managing Director, Canada Lead of Risk & Compliance Solutions, Protiviti

About Jacqueline Sanz

Jacqueline is Managing Director, Canada Lead of Risk & Compliance Solutions, Protiviti with a focus on the financial services industry. A business-centric leader recognized for significant achievement in the development and implementation of effective risk-based integrated compliance frameworks and programs across multiple registrant categories and across international jurisdictions. A strategic thinker, able to provide risk-disciplined advice and support to meet key strategic business initiatives and priorities. Demonstrated capacity to leverage technology to help businesses focus limited resources on high risk, high-impact compliance risks while maintaining capacity to meet business priorities.

Loren Schwartz

Loren Schwartz, Senior Director of Regulatory Technology, CIBC Capital Markets

About Loren Schwartz

Loren is the Senior Director of Capital Markets Regulatory Technology at CIBC and a Strategic Advisor to the Canadian RegTech Association. Loren has been the driving force behind Capital Markets’ Regulatory Technology strategy and delivery plan. Loren is a natural and highly experienced leader with a strong track record for consistently driving the organization to meet strategic goals, while balancing immediate demands for change.

Anne Sonnen, SVP & Chief Compliance Officer at Sun Life

About Anne Sonnen

Anne oversees the independent, second line Global Compliance and Financial Crimes function for Sun Life. Previously, Anne was the Global Chief Compliance Officer for Great West Lifeco. Previously Anne has held the following roles: Chief Risk and Compliance Officer for Capital One (Canada Branch), a number of roles at BMO including: Chief Compliance Officer for BMO's Wealth and Asset Management business globally, Deputy General Counsel and Chief Administrator Officer to BMO's General Counsel; Chief of Litigation for BMO’s Canadian banking business. Prior to joining BMO, Anne was senior counsel at the Enforcement Branch of the Ontario Securities Commission and in private practice.


Junaid Subhan, VP Legal Affairs & Chief Compliance Officer, Sagard 

About Junaid Subhan

Junaid, Vice-President of Legal Affairs & Chief Compliance Officer at Sagard since 2019, oversees legal matters pertaining to fund formation, investment activities, and regulatory compliance. With previous roles including General Counsel and Chief Compliance Officer at CoPower Inc., Junaid brings extensive experience in fintech startups and corporate securities law from his tenure at Stikeman Elliott LLP in Toronto and a New York-based law firm's Emerging Companies and Venture Capital group. Holding degrees in Common Law and Civil Law from McGill University, Junaid is recognised for his contributions, being honoured as "Young Lawyer of the Year" by the Federation of Asian Canadian Lawyers in 2016. 


Bryan Tamblyn

Bryan Tamblyn, Chief Compliance Officer, Chief AML Officer, Chief Privacy Officer, Cidel

About Bryan Tamblyn

As Chief Compliance Officer of Cidel Bank Canada, Cidel Trust Company and Cidel Asset Management, Bryan is responsible for managing the firm’s compliance and AML programs. He has 15 years of industry experience in compliance and risk management. Prior to joining Cidel, Bryan was the Chief Compliance Officer for UBS Bank (Canada). He holds the Fellow of the Canadian Securities Institute and the Chartered Investment Manager designations and is a Certified Anti-Money Laundering Specialist. Bryan is a Board Director for the UHN Foundation and a member of its Investment Committee.

Felicia Tedesco

Felicia Tedesco, Deputy Director, Compliance and Registrant Registration, Ontario Securities Commission        

About Felicia Tedesco

Felicia is Deputy Director of the Ontario Securities Commission’s Compliance and Registrant Registration (CRR) branch. She is responsible for CRR’s oversight programs.

Shameel Thakrar CPA, CA, Vice President, Compliance Operations & Strategic Initiatives, IG Wealth Management

About Shameel Thakrar

Shameel oversees branch examinations, compliance investigations, and registrations at IG Wealth Management. Since joining the company, he has taken on various pivotal roles, each with escalating responsibilities. He is held in high esteem by his colleagues for his dedication and expertise. Furthermore, Shameel actively champions the profession, serving as a mentor to fellow CPAs and providing support to candidates navigating the CPA Professional Education Program at IGWM.


Sue-Ling Yip, Partner, Forensic & Financial Crimes Practice, KPMG

About Sue-Ling Yip

Sue Ling has over 23 years of Canadian and international experience in the banking and financial services industry. She is a regulatory compliance and anti-money laundering subject  matter expert, and her experience also encompasses front line operations as well as the management of enterprise compliance programs, internal audits, investigations and remediation
projects. Her background also includes operational and enterprise risk management. Her experience extends throughout the financial services industry, having led a number of anti-money laundering practice groups, implementing AML programs within organizations and compliance groups throughout the Canadian Financial Services industry.


Ivan Zasarsky

Ivan Zasarsky, Partner, National Financial Crime Practice Leader, PwC Canada

About Ivan Zasarsky

Ivan is PwC’s National Financial Crime Practice Leader and Global Financial Crime Innovation Leader. He has over 25 years of resident and global experience in leading surveillance and monitoring program transformation and operation. This includes program design, implementation and operation at Canadian, U.S., European, and Asian financial institutions. He is a trusted advisor to global institutions and regulatory bodies and has served on industry steering committees. Ivan has contributed to and published core research in surveillance monitoring and application of advanced analytics.


Event Sponsors

Platinum Sponsor

IGM companies logos

Bronze Sponsor

protiviti logo