Ashley Roberts

Ashley Roberts

Compliance

Ashley Roberts joined Wakefield Quin Limited in January 2017 as Group Compliance Officer. Ashley is responsible for managing the delivery of an effective compliance and risk management program; including, developing and maintaining AML-ATF procedures, coordinating risk management and internal control system assessments, delivering AML-ATF training, and supporting internal policies and procedures to promote leading industry practices. Ashley has several years’ experience in the financial services industry previously working as Finance & Compliance Officer for a Securities Broker-Dealer.

Ashley has a Diploma in Accounting and Business from the Association of Chartered Certified Accountants and completed the Canadian Securities Course through the Canadian Securities Institute.  She is an Associate Member of the International Compliance Association and a member of the Regulatory Compliance Association.

Office Management

Compliance