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David Lister

David Lister

Senior Consultant

David has over 30 years of experience in the investment industry.  He has worked as a regulator with IIROC and the TSE, and has been Chief Compliance Officer with six different investment dealers.  David has also been the Chief Compliance Officer for four broker dealers registered with FINRA.  David’s compliance experience covers all aspects of the investment industry, including retail wealth management, institution sales and trading, and corporate finance.  His experience also includes supervision of options and futures products.  David’s experience is complimented by a hands-on, solution-oriented style that drives tailored, practical results for clients.  As part of his compliance roles, David has designed, developed and implemented technology solutions that assist investment dealers in meeting their compliance requirements, such as supervisory databases and new client documentation workflow applications.  David enjoys opportunities to leverage technology to reduce the time and resources required for compliance and regulatory processes.