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Canadian financial institutions, including banks, insurance companies and securities firms, face an increasingly complex regulatory web. Regulators are placing increased pressure on financial institutions 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 social media 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. You need to be ready.

Get the tools you need to identify, mitigate and control risks and to build a good compliance program within a Canadian financial institution, including expert guidance on compliance policies and procedures.

The Fundamentals of Regulatory Compliance & Legal Risk Management for Financial Institutions is a unique, stand-alone Compliance Fundamentals program, which also serves as Module 1 of the Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, an intensive 5-module Certificate program developed by a select group of leading industry and legal experts.  In this information-packed Compliance Fundamentals program, you’ll gain an 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.


Program Directors

  • Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Program Advisory Board

  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group & Chief Compliance Officer, BMO Life Assurance Company, BMO Life Insurance Company
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP

2019 Program Faculty

  • Jean-Pierre (J-P) Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Liane Kim, CFA, Chief Risk and Audit Executive, Ontario Power Generation
  • Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Natalie Ochrym, Advisor, The AML Shop
  • Waqas Rana, Vice-President & Chief Compliance Officer, Corporate Compliance, The Co-operators Group Limited
  • Geoffrey Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Jacqueline (Jackie) Sanz, CPA, CA, Compliance Executive, and Standards and Practices Committee Member, Portfolio Management Association of Canada (PMAC)
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Agenda (Module 1)

Group Discounts and Financial Assistance

Please note that the group discount is only available when paying for members of the same organization, at the same time, and payment is made with one invoice.  For financial assistance, please email financialaid-opd@osgoode.yorku.ca

Webcast Fee per Delegate

2-3 delegates: 25% off program fee
4-10 delegates: 30% off program fee
11+ delegates: 35% off program fee
Boardroom rates available.


The video stream will be sent to you via email as soon as payment is successfully processed.


All sales are final. Please make all enquiries related to program content and CPD/MCLE credit hours prior to purchase.


Have a question? Read our FAQs.

Technical Support

In the event you experience technical difficulties, please contact opdsupport@osgoode.yorku.ca for assistance.

Program Details

Delivery Method

Web - On Demand

Date Recorded
January 24, 2019
Fee per Delegate

$895 + HST

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Eligible CPD Credit Hours


Who Should Attend

  • Compliance officers and compliance professionals at financial institutions
  • Privacy officers
  • Chief risk officers
  • Operations and risk managers
  • In-house counsel at financial institutions
  • Internal auditors
  • Lawyers in private practice who advise financial institutions
  • Portfolio and fund managers

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“Excellent. Clear, high-quality presentations and you [can tell] that the speakers enjoy being there. It also [includes] hands-on application and is full of information about the ‘real-life’ in compliance.”
Diane Hachem, Regulatory Investigator, Law Society of Ontario

“The quality of the whole program was excellent. It covered a broad variety of relevant and up-to-date subjects. I was really impressed by the instructors’ expertise and wealth of experience and [the] real-life experiences that enriched the effectiveness of the training. Thank you very much!”
Patricia Pacanchique, Director, Pension Policy – OMERS Administration Corporation

“Great to get information on the new technology implications (crypto and social media). Real-life examples were very helpful.”
Helen D.K. Friedman, Partner-Risk Management, Miller Thomson LLP

Module One: Fundamentals of Compliance

“As someone new to the “formal” world of compliance, the discussions around risk management approaches and the linkages to effective compliance testing/planning was of particular interest to me. The content was very relevant and well-presented – good materials for takeaways.”
Jeff Niehaus, VP, People & Talent Development, eTracks Tire Management Systems

“As a non-compliance, non-risk executive looking to learn more about the subject matter, the course has been wonderful. The presenters are so proficient in their area of expertise that they make complicated issues seem simple.”
David Campbell, Caledon Trust

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