SMOOTH OPERATOR: THE COMPLIANT ADVISOR

Protecting ourselves and our clients has become more important and more difficult than ever before. Given today’s sophisticated fraud technology and tools, the power of AI can assist fraudsters in everything from identity theft to ransomware of web servers. Not only is the playbook for compliance more rigorous, but it’s also more complex given what’s in an advisor’s control versus outside of control. How do we keep client privacy and data safe?

Can we spot the trickery of AI by amplifying the human touch of advisors so that we focus on consumer and investor protection such as Fair Treatment of Customers? The good news is, what we can control is operating under a strong client-first, ethical and compliant practice. Exploring legal and regulatory impacts, we will discuss how to stay smart and stay safe together.

In this session, our panelists will discuss how regulatory guidelines and advisor compliance practices can protect clients and advisors in the face of new risks.

Speaker

Monica Hovsepian, Financial Services lead at OpenText, drives the financial services global strategy and marketing efforts across business solutions. With 25+ years’ financial industry expertise, she’s a respected authority and thought leader, having worked with various major banks worldwide, spearheading operational enhancements and customercentric innovations, including initiatives designed to revitalize the customer experience. An Economics graduate from York University, she holds an MBA from Hult International Business School, London. Monica is also a member of the Forbes Finance Council.

Nataša Milojević is the Vice President, Business Governance & Controls for Retail Advice and Solutions. Nataša leads a team of professionals who are enthusiastic about enhancing Sun Life’s risk and compliance culture and driving business outcomes in a client- and advisor-centric way. After leaving the practice of law over 10 years ago, Nataša has held various, progressively senior roles across a number of financial service organizations, most recently with another Canadian-based global insurance company leading strategy and operations for Law, Compliance and Government Relations functions globally.

Nataša is known for her ability to deliver on large scale, complex projects that intersect business and compliance, and passionately believes that effectively harnessing the complex regulatory context can be a significant competitive advantage for organizations.

Speaker

Jill McCutcheon co-heads the Financial Services Practice at Torys LLP. Specializing in insurance & reinsurance- corporate, regulatory and transactional matters. She advises on all aspects of the law, whether federal or provincial, and acts as counsel to insurers, reinsurers, intermediaries, coverholders, MGAs, third-party administrators, and others.

She is recognized as a leading lawyer in her field by Chambers Canada, L’expert, Who’s Who Legal: Insurance and Reinsurance, The Legal 500 — Leading lawyer in insurance, among others. Jill has twice been named the Client’s Choice Award — Insurance and Reinsurance for Canada, most recently in 2022

MODERATOR

Jack Mazakian Vice-President, Advocis Broker Services

Jack Mazakian is the principal broker and responsible for management of all facets of Advocis Broker Services’ national operations, supporting and executing strategic objectives while maintaining all relationships with partner organizations. He oversees and manages the day-to-day operations of the Advocis sponsored Advisor Insurance Protection program. Jack is an active member of The Financial Advisors Association of Canada’s (Advocis) Executive Management Team.

A successful career in establishing and growing insurance business in Canada, Jack has a professional background in Accounting & Financial Management, and is a licensed Property & Casualty Broker across the country.