Michael Wou

Michael Wou has a diverse work experience in the financial industry. Michael is currently working as the Senior Manager - Regulatory Compliance at CoinSmart since November 2021. Previously, they worked at IIROC (Investment Industry Regulatory Organization of Canada) as a Senior Investigator from December 2017 to June 2021. In this role, they were responsible for conducting investigations into the conduct of IIROC member firms and their registered employees.

Before that, Michael worked at Ombudsman for Banking Services and Investments (OBSI) as an Investigator II from May 2014 to November 2017. Michael'smain responsibility was to assess and resolve client complaints against investment firms. Michael facilitated settlements between clients and firms and drafted investigation reports when a settlement could not be reached.

Prior to that, they worked at TD Wealth Compliance as a Senior Compliance Officer, Policies and Regulations from June 2012 to April 2014. Michael'sduties involved assessing and disseminating new and proposed regulatory notices, liaising with the project management group, and drafting policies for TD business partners.

Michael also gained experience at TD Waterhouse Discount Brokerage and TD Waterhouse, where they served as a Senior Investment Representative (August 2011 to June 2012) and an Investment Representative (May 2009 to July 2011) respectively. In these roles, they executed trades in various financial instruments, analyzed portfolios, and provided assistance to clients in selecting appropriate options.

Overall, Michael Wou's work experience showcases their expertise in regulatory compliance, investigations, client dispute resolution, and policy development within the financial industry.

Michael Wou completed their education in a chronological manner. Michael first attended Marianopolis College from 1998 to 2000, where they obtained a DEC in Business Administration. Next, from 2000 to 2004, they pursued their Bachelor of Commerce (B.Com.) degree in Finance at Concordia University. Finally, they attended the University of Ottawa from 2005 to 2009, majoring in the National Program, specifically LL.B & LL.L.