Areas of Expertise
- Regulatory compliance
- Regulatory communications
- Operational effectiveness
Vivian serves as Chief Compliance Officer for SEI Investments Canada Company within our global legal and compliance team. She leads the team who oversees all compliance-related functions within the Canadian business.
Vivian started her career in the investment industry in 2001, with a role in investment sales at RBC.
Prior joining us, Vivian was the Director, Operations and Chief Compliance Officer at Skyline Wealth Management, Inc. She was AVP of Compliance at Canoe Financial, directing its compliance functions, while also acting as Project Manager for a $1B acquisition. Vivian was also Manager of Compliance at Empire Life Investments, where she was involved in streamlining operational efficiencies.
Vivian believes the compliance team is a valuable partner to the wealth management sales and advisory teams. She strives to streamline efficiencies at every level of the company, in order to strengthen our client relationships. She holds the Chartered Investment Manager designation and has a BA in Finance from Sheridan College.