Charles Piroli
About Charles Piroli
Charles Piroli serves as the Director and Senior Legal Counsel at MD Financial Management, bringing extensive experience in regulatory compliance within the financial services sector. His career includes significant roles at various organizations, including IIROC, Ontario Securities Commission, and BMO Financial Group.
Current Role at MD Financial Management
Charles Piroli serves as the Director, Senior Legal Counsel at MD Financial Management | Gestion financière MD. He has held this position since 2021, contributing to the organization with his extensive legal expertise in the financial services sector. His role involves providing legal guidance and ensuring compliance with regulatory requirements, leveraging his background in both private practice and regulatory bodies.
Previous Experience in Financial Services
Prior to his current role, Charles Piroli held several significant positions in the financial services industry. He worked at Penson Financial Services Canada as Vice President & Associate General Counsel from 2010 to 2012. He then joined BMO Financial Group as Senior Counsel in Wealth Management from 2012 to 2014. Following that, he served as Head of Retail Compliance at BMO Nesbitt Burns from 2014 to 2015. His diverse roles have equipped him with a comprehensive understanding of the regulatory landscape.
Regulatory Expertise with IIROC
Charles Piroli has a strong background in regulatory compliance, particularly through his six-year tenure at the Investment Industry Regulatory Organization of Canada (IIROC), where he served as Director of Member Regulation Policy from 2015 to 2021. In this capacity, he developed policies that govern member conduct and contributed to the regulatory framework of the investment industry in Canada.
Educational Background
Charles Piroli earned his Juris Doctor (J.D.) from York University - Osgoode Hall Law School, where he studied from 1996 to 1999. He furthered his education by obtaining a Master of Laws (LL.M.) in Securities Law from the same institution between 2011 and 2013. Additionally, he completed his undergraduate studies at the University of Toronto - University of St. Michael's College, achieving an Honours Bachelor of Arts (Hons. BA) from 1992 to 1996.
Legal Practice Experience
Before transitioning to in-house counsel roles, Charles Piroli worked at Debevoise & Plimpton LLP in New York, where he was an Associate in the Securities Practice Group from 2000 to 2004. This experience provided him with a solid foundation in securities law, which he has applied throughout his career in various regulatory and legal roles within the financial services sector.