Marisa Bertoia has over 30 years of experience in the financial industry. She is responsible for providing direction and implementation of trading, settlement systems, reporting policies and procedures to ensure compliance with industry regulations. In addition, Marisa provides advice and support on the development of trading systems, client investments and business processes relating to trading and settlement. Marisa has strong operational and administrative experience in the areas of Corporate Compliance, private, retail and institutional investments, including back-office operations.
Previously, Marisa worked in the Corporate and Institutional Compliance Group of a major Canadian bank-owned dealer. Her main responsibilities were responding to regulatory and police agency inquiries; assisting in internal investigations and operating as a Commissioner of Oaths.
Marisa has also held various positions including that of Commodity Compliance Analyst. Her main responsibility in these positions was to review retail accounts, margin calls and act as branch liaison between Canadian branches and head office in New York.
Turning a tragic personal loss into a positive cause, Marisa is a committee member of The Skate With Daniel Team and the Daniel Bertoia Family Endowment Fund (DBFEF) which works with SickKids Foundation and b.r.a.i.n.child to help raise funds for brain tumour research.