Chief Compliance Officer
MBA, CIM®, FCSI®
Alan has extensive experience in Canadian and U.S. regulatory compliance. He has worked for a global bank and a wealth management firm where he became the Chief Compliance Officer for its U.S. subsidiary. Alan has implemented strategies, technologies, and organization-wide education programs to mitigate regulatory, compliance, and business risks. He is currently an advisor to the Canadian Securities Institute (CSI) on their flagship designations.
Alan obtained the Chartered Investment Manager credential from the CSI and the prestigious Fellow of CSI. He has recently earned an MBA from Cornell and Queen’s University and speaks English, Cantonese, and Mandarin.