Full Name
Michael Smith
Job Title
President & Chief Compliance Officer
Company
iA Private Wealth USA
Speaker Bio
Michael is responsible for the supervision of retail compliance for Managed Accounts and Tier 2 Oversight. He is also leading iA’s cross-border activities with the launch of the new U.S. RIA and our existing FINRA institutional broker dealer. Spending most of his career with Independent Dealers, McDermid, IPC, MGI, Credential and Industrial Alliance, he has also worked for National Bank as Head of Compliance for NBIN. In 2011, he left the industry for two years to work alongside one of the original employees of Amazon to develop digital literacy projects in sub-Saharan Africa.
Experienced in retail, institutional and U.S. compliance, Michael’s roles have included Auditor, Branch Manager, Trade Desk Supervisor and Chief Compliance Officer. He is a graduate of the University of Western Ontario.
Experienced in retail, institutional and U.S. compliance, Michael’s roles have included Auditor, Branch Manager, Trade Desk Supervisor and Chief Compliance Officer. He is a graduate of the University of Western Ontario.
Speaking At
