COMPLIANCE PORTAL KEYWORDS

ARA Compliance Services

With access to a large and diverse pool of Compliance Professionals, we can source individuals or teams with the level of expertise required to fill any regulatory or compliance related staffing need.

ARA Compliance Services can supply Compliance Professionals who will work under your direction, or we can provide both the staff and expert management services to ensure successful project completion.

Vipool Desai, CA, CFA, the founder and principal of ARA Compliance Services, has over 14 years experience as a compliance professional in the securities industry.

Vipool has held senior compliance positions at several Investment Dealers and managed the compliance function of a major Schedule 2 Bank and it’s Investment Dealer affiliate. He was also a Compliance Officer with the Investment Dealers Association of Canada.

Vipool has extensive experience with:

  1. the application of regulatory and control concepts to various sales and trading functions.
  2. the development and implementation of compliance policies and review procedures
  3. the design of efficient business solutions for a variety of regulatory constraints and requirements.

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