Fenella Rosales is a senior compliance and regulatory expert with over 15 years’ experience in the securities industry. Prior to joining Comarm Solutions, Fenella was Vice-President, Compliance and CAMLO at Canaccord Genuity Corp. Prior to that, she was a Senior Branch Manager at Manulife Securities Inc. and Vice-President, Compliance at Jordan Capital Markets Inc. In her roles with investment firms, Fenella was responsible for overseeing and managing the development and implementation of the firms’ compliance programs including the Registrations and AML programs. Fenella has many years of experience supervising advisors with both IIROC and MFDA firms. Fenella also spent two years with IIROC as a Business Conduct Examiner where she conducted business conduct audits of the member firms’ compliance programs.
Fenella was a member of IIROC’s Compliance and Legal Section, and was a member of the CLS Subcommittees on Registrations and Continuing Education. She holds a Bachelor of Arts degree with a major in Economics from Simon Fraser University.
Fenella’s breadth of experience in the investment industry, and her expertise in Compliance, Registrations, and Anti-Money Laundering, make her an excellent resource for Comarm’s clients.