Brian Connell-Tombs Helps Clients Navigate Regulatory Environment through CT Compliance Consulting

TORONTO, Sept. 28, 2017 /CNW/ - Brian Connell-Tombs has launched CT Compliance Consulting, a practice that offers expert regulatory compliance services to clients in the securities industry.

The consultancy, based in Ontario, taps into Brian Connell-Tombs' 20-plus years of experience with Canada's regulatory agencies and industry oversight groups.

"Between the insights I bring to clients with my regulatory and alternate dispute resolution experience, CT Compliance Consulting provides a valuable range of services," Connell-Tombs explains.

The firm focuses on developing and executing risk management strategies to support clients in the ever-changing regulatory environment. These services include providing training to staff on changes to their "Know Your Client" and "Know Your Product" obligations, identifying emerging issues, as well as assisting in resolving client complaints.

Prior to starting his consulting firm, Brian Connell-Tombs was at the Ombudsman for Banking Services and Investments (OBSI), Canada's largest independent investigator of banking and investments-related complaints. While leading a team of investigators at OBSI, Connell-Tombs assisted in eliminating a substantial backlog of complaints – ahead of schedule and under budget.

CT Compliance Consulting also reflects Connell-Tombs' previous years of service as a senior investigator for the Investment Industry Regulatory Organization of Canada (IIROC), where he testified before disciplinary hearing panels and researched complex issues often involving multi-jurisdiction regulations. He also served as a forensic accountant for the Ontario Securities Commission (OSC).

Brian Connell-Tombs earned his start in accounting working with the Canada Revenue Agency (CRA) and later with PricewaterhouseCoppers and Ernst and Young, where he led a number of forensic investigations, including many on behalf of clients in the securities industry. After earning his bachelor's degree from the University of Toronto, he received his accounting designation (CPA, CMA) in 1991, his Certified Forensic Investigator (CFI) designation in 2001 and a certificate in Investment Dealer Compliance in 2013.

"These are interesting and challenging times for securities firms, and as firms continue to offer new and more complex investments, having a risk management strategy in place has never been more important," Brian Connell-Tombs adds. "I look forward to helping clients gain new insights into these issues and guiding them in how they can best be managed."

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