Director of Compliance & Chief Compliance Officer, Skyline Wealth Management Inc.
As Director of Compliance and Chief Compliance Officer, Vivian oversees all compliance-related functions within Skyline Wealth Management Inc. (SWMI). She ensures that SWMI’s employees and processes are compliant with current securities legislation by consistently reviewing investment suitability for current and new investors, upcoming securities legislation, all investor marketing and communications materials, and internal admin processes.
Vivian has 16 years of experience in the investment industry, her first role involving investment sales at RBC. Prior to her role at Skyline, Vivian was AVP of Compliance at Canoe Financial, directing its compliance functions while also acting as Project Manager for a $1B acquisition. Vivian was also Manager of Compliance at Empire Life Investments, and streamlined operational efficiencies leading to tens of thousands of dollars in savings.
Vivian believes in compliance’s function as a partnership and valuable asset to the sales/advisory component of wealth management, and she strives to streamline efficiencies at every level of SWMI, ultimately creating more investment opportunities and building strong client relationships. She holds the Chartered Investment Manager designation, and has a BA in Finance from Sheridan College.