Fabio Y.
About Fabio Y.
Fabio Y. is a Regulatory Operations professional at Wealthsimple in Toronto, Canada, with extensive experience in compliance roles at major financial institutions.
Regulatory Operations at Wealthsimple
Fabio Y. currently holds the position of Regulatory Operations at Wealthsimple in Toronto, Canada, starting his tenure in 2021. He is responsible for overseeing regulatory queries from bodies such as IIROC, OSC, and FINRA, ensuring these are addressed in a timely manner. Fabio improves compliance programs, focusing on monitoring, testing, and surveillance activities. Additionally, he leads the Best Execution Committee, which focuses on order routing updates and market flow analysis. His tasks also include MX Large Option Position Reporting and IIROC MTRS Debt Surveillance, and managing Cease Trade Orders and IIROC TFT Failed Trade Reporting.
Manager, Digital Investments Compliance at RBC
Prior to his role at Wealthsimple, Fabio Y. served as the Manager of Digital Investments Compliance at RBC from 2017 to 2021. Based in Toronto, Ontario, he spent four years ensuring compliance in digital investments. His responsibilities in this role involved overseeing the adherence to regulatory standards within the digital investment space at one of Canada's leading financial institutions.
Compliance Officer at BMO Financial Group
Fabio Y. worked as a Compliance Officer at BMO Financial Group in 2017 for six months. His role focused on trade surveillance and audit within the compliance department. Based in Toronto, Ontario, Fabio's brief tenure at BMO involved tasks aimed at maintaining regulatory standards and ensuring compliance within the organization's trading activities.
Compliance Analyst at Questrade Financial Group
Fabio Y. spent 11 months from 2016 to 2017 as a Compliance Analyst in Trade Conduct Compliance at Questrade Financial Group, located in Toronto, Canada. His work involved analyzing trade conduct to ensure adherence to regulatory requirements and contributing to the compliance framework within Questrade's operational structure.
Education and Academic Background
Fabio Y. achieved an Honours Bachelor of Business Administration (BBA) in Finance & Economics from the Lazaridis School of Business & Economics at Wilfrid Laurier University. He furthered his foundational education at St. Robert Catholic High School, where he studied Business Studies and attained the Ontario Secondary School Diploma along with a Certificate of Achievement.