Program Directors

Jasmin Jabri

Compliance Executive

You need to be ready. Canadian financial institutions face a complex regulatory web as regulators (nationally and globally) are imposing greater pressures to assess, monitor and mitigate regulatory and operational risks.

In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues – including those created by remote work and emerging technologies – and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.

Designed by a select group of industry leaders, this unique one-day program, which also serves as Module One for The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, will provide you with a practical understanding of the key compliance and risk management issues facing financial institutions in Canada as well as the essential components of a successful compliance program, how to categorize and control risk, and real-world best practices and strategies to help shield your organization from costly and damaging violations.

What You’ll Learn

What compliance is and why it is a priority among regulated industries

Essential components of a successful compliance program

Methods to categorize, mitigate and control risk

How major regulators and authorities regulate and supervise (objectives, powers and responsibilities), and tips for dealing with them effectively

Correlations between governance, risk management and compliance (GRC)

How to become an effective partner and energize your organization

Techniques to help shield your organization from costly and damaging violations

Overview of regulatory reviews, exams and complaints

This program is part of The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions (Module One), in this single-day module you will get the practical tools you need to identify, mitigate and control risks and build a good compliance program within a financial institution and other organizations, along with expert guidance on the core elements of compliance policies and procedures.

This program includes an option to upgrade to the full Certificate program in the Winter 2025 offering, until February 6, 2025, or in the next available Certificate program offering.

Who Should Attend

Compliance officers and compliance professionals at financial institutions

Privacy officers and professionals

Operations and risk professionals

In-house counsel at financial institutions

Compliance consultants

Portfolio and fund managers

Insurance professionals


Internal auditors

Anyone aspiring towards a career in compliance or enterprise risk management


Program Directors

Jasmin Jabri

Compliance Executive

Joann Sochor

AVP, Corporate Compliance, Sun Life

Advisory Board

Paola Cifelli

Manager, Policy and Initiatives, Ontario Securities Commission (OSC)

Mary Joyce Empensando

Chief Compliance Officer, Questrade, Inc., Questrade Wealth Management Inc.

John Lewsen

Compliance, Risk and Governance Specialist, and former insurance Chief Compliance Officer

Katherine Macpherson

Founder, KM Risk Consulting

Ilona Niemi

Compliance Executive, The Co‑operators Group Limited

Grant Spears

Assistant Vice President, Market Conduct, and Senior Business Compliance Officer, Distribution, Canada Life



Recorded: Jan 25, 2024

$925 + TAX

Printable registration form

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CPD and Accreditation

OsgoodePD is an accredited provider with the LSO, the Law Society of BC and NY CLE Board. Select your location to view the eligible hours you may claim.

CPD Hours
Contact us for inquiries about other provinces.
Substantive (Program)4h15m
Professionalism (Program)1h 30m
Total (Program)5h 45m

Are you reporting hours from a previous date?

View our CPD & Accreditation page to see previously calculated hours for this course.

“Is financial assistance or funding available?”

As law evolves, we know how important it is to stay up to date. We also understand the financial implications of continuously upgrading your professional skills and knowledge. For more information on available options, including Job Grants, OSAP, please visit:

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Regulatory Compliance and Legal Risk Management for Financial Institutions

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