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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 for CPD Programs

For boardroom and multi-purchase rates, please email us.
OsgoodePD offers group rates and financial assistance for both on-site and webcast formats.


After your purchase is complete, the course will appear in the Order History of your OsgoodePD account with a link to "Take Online Course". Once you click "Take Online Course" you will be forwarded to the Moodle page with the materials link. The program video link with be unlocked on the day of the program. You will have access to the video for 90 days.

Program Changes

We will make every effort to present the program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.

Cancellations, Substitutions and Refunds

Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 14 days prior to the program date. If a cancellation request is made with less than 14 days notice, a $75 administration fee will apply. No other refund is available.


Have a question? Read our FAQs.

Technical Support

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

Date Recorded

 January 24, 2019

Program Details

Date & Time

May 10, 2019
9:00 a.m. - 5:00 p.m. EDT


Web - Online Replay

Fee per Delegate

$895 + HST

Register Now

Printable Registration Form

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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“Great presenters, very knowledgeable and easy to understand [and] great discussions amongst the panels. A great deal of tips and information [to] use when setting up a program. Excellent agenda and well put together. Online experience was great.”
– Cindy Bauder, Manager, Market Conduct Compliance, Manulife

“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

Module One: Fundamentals of Compliance

“Excellent. As a new member of the compliance world, this module provided me with valuable and helpful information to assist in better understanding compliance which I will take with me to further my career.”
– Paolina Corsaro, Compliance Coordinator, Amex Bank of Canada

“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 issue seem simple.”
– David Campbell, Caledon Trust

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