Novlette is a compliance professional at Registrant Law with over 20 years' regulatory compliance experience.
Novlette assists our clients with various regulatory compliance matters, working with Registrant Law lawyers on firm and individual registration applications, AML effectiveness reviews, compliance policies and procedures, regulatory audit preparations, training, and other regulatory compliance matters.
Prior to joining Registrant Law, Novlette worked as a Chief Compliance Officer and Chief Anti-Money Laundering Officer with various portfolio managers and CIRO dealers (investment dealer and mutual fund dealer), investment fund managers and exempt market dealers.
Novlette is highly conversant with the requirements of NI 31-103, NI 45-106, CIRO rules, FINTRAC, privacy breach reporting, regulatory audits and financial reporting.
Novlette has extensive experience in developing policies and procedures and ongoing monitoring of operations, including regulatory filings.