Robert Franzese

I’m an experienced compliance consultant with over ten years of increasing experience within the investment industry. I have worked within the capital markets and wealth management areas with extensive exposure to regulatory compliance, monitoring and testing, trade surveillance, and library management. I am well versed in regulations, controls, control mapping, policy analysis, risk management, and trading products. Prior to joining Davies, I held multiple roles at two of Canada’s largest financial institutions both in compliance and wealth management areas. This skillset is encompassed in my role as senior consultant at Davies, managing and delivering strategic projects within the capital markets area.