Kathleen Black, FCSI, CFP
CHIEF COMPLIANCE OFFICER
Kathleen Black has had a 20-year financial services career. After leading an Alberta Trust company for a number of years Kathleen held several senior positions in compliance and risk operations for two large Canadian & global bank wealth divisions. Her entrepreneurial spirit led Kathleen to lead the building of a recognized dual enterprise mutual fund dealer/MGA in Toronto in the late 90s. She has provided senior regulatory compliance and risk expertise to a number of financial organizations, including most recently a Credit Union.
Kathleen has served on the MFDA regional Council and held several industry chair positions including with the Associations of Compliance Professionals Alberta Chapter of which she is currently the Executive Director and the CCO committee for the National Exempt Capital Market Association (NEMA).
Kathleen attended Mount Royal University for Business Administration. She currently holds a Certified Financial Planner designation as well as Industry courses for Chief Compliance Officer, IIROC supervisor, Branch Manager, LLQP (life Insurance) Mutual Funds (IFIC), CSC, OPD, PDO. She is a frequent contributor to the Investment Executive and the NEMA association magazine, as well as a speaker for various compliance and risk events. Kathleen holds the prestigious FCSI ( Fellow CSI ) and is currently working on her final course for her CIM designation.