Aj Regmi
About Aj Regmi
Aj Regmi is a Senior Compliance Officer with over a decade of experience in compliance roles within the financial services industry in Toronto. He has in-depth expertise in Canadian regulatory requirements and a strong background in derivatives analysis.
Current Role at MD Financial Management
Aj Regmi serves as a Senior Compliance Officer at MD Financial Management since 2015. In this role, he is responsible for ensuring adherence to regulatory requirements and internal policies within the organization. His position emphasizes the importance of compliance in the financial services sector, particularly in the context of Canadian regulations.
Previous Experience at RBC Investor & Treasury Services
Aj Regmi worked as a Derivatives Analyst at RBC Investor & Treasury Services from 2010 to 2012. During his two-year tenure in the Toronto area, he developed a strong foundation in derivatives analysis, which has contributed to his expertise in compliance roles. This experience provided him with insights into the complexities of financial instruments and their regulatory implications.
Compliance Roles at Manulife
Aj Regmi held two positions at Manulife, first as a Compliance Officer from 2012 to 2014 and then as a Senior Compliance Officer from 2014 to 2015. In these roles, he focused on ensuring compliance with industry regulations and internal standards. His progression within the company reflects his growing expertise and responsibilities in the compliance field.
Expertise in Canadian Regulatory Requirements
Aj Regmi possesses in-depth expertise in Canadian regulatory requirements, specifically in NI 81-101, 81-102, 81-106, and 81-107. This knowledge is crucial for his compliance work in the financial services industry, as it enables him to navigate the regulatory landscape effectively and ensure that organizations meet their obligations.
Background in Financial Services Compliance
Aj Regmi has over a decade of experience in compliance roles within the financial services industry, primarily in the Toronto area. His extensive background includes various positions that have equipped him with a comprehensive understanding of compliance frameworks and regulatory expectations in Canada.