Compliance Forum

Julie Rochette is Vice-President and Chief Regulatory Officer of the Regulatory Division at Montréal Exchange. Prior to joining in 2015 as Director, Enforcement and Legal Counsel in the Regulatory Division, she held various legal and compliance positions within the financial and aerospace industries at Laurentian Bank of Canada, National Bank Financial, the Ombudsman for Banking Services and Investments, and Pratt & Whitney Canada. Her main areas of expertise are legal affairs, compliance and regulation. Ms. Rochette became a member of the Quebec Bar in 1994 and holds a bachelor's degree in Civil Law from Université du Québec à Montréal and participated in the Civil Law Common Law Exchange Program.

Karen McMeekin is the Director of Strategy and Regulatory Outreach in the Montréal Exchange's Regulatory Division. Her key responsibilities include ensuring and prioritizing the Division's regulatory initiatives and serving as a dedicated resource to help Approved Participants meet their compliance needs. Karen has been with the Montréal Exchange since 2001, occupying various roles in Market Operations and Business Development. In 2015 she moved to the Regulatory Division, where she was Senior Advisor, Regulatory Affairs and then Director of Examinations before taking on her current role and introducing the Regulatory Outreach program. Prior to working at the Exchange, Karen traded interest rate derivatives for Canadian brokers Richardson Greenshields and TD Securities.

Marc Komlossy is a Senior Market Analyst in the Montréal Exchange's Regulatory Division. His key responsibilities include overseeing the monitoring of the trading activities of the Exchange's Approved Participants and ensuring their compliance with Exchange rules, as well as working closely with other regulatory bodies trying to achieve the same objectives. Marc has been with the Montréal Exchange since 2016, occupying various roles within the Regulatory Division, and as Senior Equity Derivatives Advisor within the Financial Markets team of the Montreal Exchange. Prior to working at the Exchange, Marc worked for more than 18 years at TD Bank Direct Investing, starting out as an Investment Representative and moving on to roles in compliance, management and finally, training facilitation.

Rosanna Sciortino is an Examiner at the Montreal Exchange's Regulatory Division. Her key responsibilities include conducting periodic examinations of the Approved Participants to ensure they continue to meet regulatory requirements. Rosanna positions herself as a trusted regulatory partner and prides herself in providing Approved Participants with helpful regulatory guidance. Rosanna has been with the Regulatory Division of the Montreal Exchange since 2017. Prior to working at the Division, Rosanna occupied various roles in financial markets and compliance, working at BMO Nesbitt Burns and Laurentian Bank Securities. Rosanna has a degree in Commerce from the John Molson School of Business at Concordia University.

Steve Badra-Quirion is the Senior Advisor, Regulatory Outreach and has been in the financial industry for over 14 years. Prior to joining the Regulatory Division, he worked in OTC derivatives regulation at a provincial securities regulator and in financial risk management at various consulting firms. In his current role at the Regulatory Division, Steve leads a variety of initiatives aimed at clarifying and assisting Approved Participants and their clients navigate derivatives regulation in Canada. Steve is a Chartered Financial Analyst charterholder and has a bachelor of commerce and diploma in accounting from McGill University.

Vincent Pivin-Dans is the Senior Advisor, Systems and Data at the Montréal Exchange’s Regulatory Division. Vincent joined the Regulatory Division of the Montreal Exchange in 2017 as a compliance analyst, and has since held roles in the Examinations and Market Analysis teams. Currently as Senior Advisor, Vincent is involved in the Division’s initiatives related to technology and data, serving as a subject matter expert. Initiatives have included the development of a new surveillance system, Participant Portal functionalities and machine learning based market manipulation alerts. Vincent has a degree in Finance & Economics and is a Chartered Financial Analyst charterholder.