D Dugas



Daniel Dugan39 Trent St North, Frankford, ON K0K 2C0 (705) 957-3895moneyplandan@SUMMARYPost-secondary Joint Honours focus on international political economics & political philosophy leads to Global Loans Administration and Auditing position, RBC Global Banking ServicesLateral move to retail investments Trade Surveillance Officer, Royal Mutual Funds Inc. 2006 Group Risk Management Team AwardPromoted to Assistant Regional Compliance Officer for GTA, Royal Mutual Funds Inc.Promoted to Regional Compliance Officer for Ontario North & East, Royal Mutual Funds Inc.Assumed a 3-year tenure as branch Financial Planner for Trent Hills, ONOpened Freedom 55 Financial sub-branch in January 2015: 2015 Distinguished Advisor GTA2015 & 2016 Junior (under 4 years) VIP Advisor GTA2015 & 2016 VIP Advisor GTA2015 & 2016 Elite Advisor GTA2017 Trent Hills Chamber of Commerce: Client Satisfaction Award nomineeEXPERIENCEClearwater Financial Hastings County, ONOwner & Chief Financial Planner Ontario (March 2018 – Present)Estate, investment, education, tax planning, insurance sales, mortgage sales, banking & credit advisorFreedom 55 Financial – Quadrus Investments Inc. & London Life Northumberland County, ONFinancial Planner (Investments) & Financial Security Advisor (Insurance)Ontario (December 2014 – Present)Estate, investment, education, tax planning, insurance sales, mortgage sales, banking & credit advisorRBC Financial Group – Investment & Retirement Planning Team – Royal Mutual Funds Inc. Northumberland County, ONFinancial PlannerWarkworth, Campbellford, Hastings, Norwood Branches (January 2011 – December 2014)Estate, investment, education funding & tax planningRBC Financial Group – Group Risk Management - Royal Mutual Funds Inc. Toronto, ONRegional Compliance OfficerOntario North & East (April 2008 – January 2011)Lead all branch compliance officers/branch managers in ongoing training, coaching and direction within Ontario North & EastPartner with Regional President, Regional Operating Officer (ROO) and Regional Vice Presidents (RVPs) in reviewing trends, action plans compliance updates & messaging initiatives within the areaOngoing collaboration with the Ontario Securities Commission, RBC Ombudsman, RBC Advisory Service Group, Ombudsman for Banking Services and Investments and the Mutual Fund Dealers AssociationLead all client complaint resolution; research, investigate, interview, draft final resolution documents, coach salespeople and Branch Compliance Officers. Monthly reporting to ROO and provide recommendations to RVPsWork across all platforms, e.g. Anti-Money Laundering, RBC Direct Investing, RBC Dominion Securities, to offer suggestions to management/staff to reduce risk exposure and monitor recommendationsDelegate staff investigations into internal control review compliance issues within the branchesProvide daily career development opportunities for Assistant Regional Compliance Officer. Quarterly, yearly reviewsVet all Licensed Sales Representatives, Branch Managers and Regional Vice Presidents for proficiency, qualifications and developmental guideline achievementRBC Financial Group – Group Risk Management – Royal Mutual Funds Inc. Toronto, ONAssistant Regional Compliance OfficerGreater Toronto Area (May 2007 – April 2008)Respond to all daily correspondence and requests from Greater Toronto Area Branch ManagersCompile client complaints and report via the Mutual Fund Dealers Association, Member Events Tracking System databasePrepare Adobe, Word, WebEx, Global Crossings and Powerpoint presentations for Branch Manager and Financial Planner training sessionsOne-on-one Branch Manager training sessionsInitiated, developed, designed and disseminated all month-to-month and quarterly trend analysis for Weekly & Monthly Trade Supervision Timeliness Reports, Weekly Trade Exception Comments Report, Missing Document Reports, Internal Control Review Reports and Client Complaint ReportsCreated the initial draft of the Assistant Regional Compliance Officer training manualRBC Financial Group – Group Risk Management – Royal Mutual Funds Inc. Toronto, ONNational Mutual Fund Trade Surveillance OfficerNational Office (April 2006 – May 2007)Designed and implemented electronic National “Dashboard” scoring system Designed and implemented electronic National Tracking Reports for Missing Documents, Trade Supervision, Client ComplaintsCreated the first draft of the Trade Surveillance Officer training manual for National OfficeOngoing daily review of all flagged trading activities and follow up with Branch Managers for action plansRBC Financial Group – Corporate & Institutional Banking Toronto, ONQuality & Internal Control OfficerNational Unit Financial Control Department—Excess Management (January 2004 – April 2006)Relationship manager for credit risk management between RBC corporate clients and RBC Capital Markets, Risk ManagementRBC Financial Group – Corporate & Institutional Banking Toronto, ONLoans Administration OfficerCanadian Team (December 2002 – January 2004)Loans administrator for RBC clients and RBC Capital Markets. LIBOR, Revolving Term loans, Banker’s Acceptances, Lines of Credit as well as all account setup and maintenanceGolfsmith Canada Toronto, ONAssistant ManagerDistribution Manager and Team Lead (May 2001 – December 2002)Sales, logistics and team lead for retail and wholesale operationsStatistics Canada Toronto, ONResearcherData researcher and special projects surveyor (Feb 2001 – May 2001)Call centre operator for gathering national information on Canadian businesses & monthly employment staticsFrontiers Foundation Inuvik, NWTTeacher’s Assistant and Community LiaisonTeacher’s Assistant, Substitute Teacher and Fundraiser (Sept 2000 – Feb 2001)Created course materials, set up computer laboratory, created small engine repair program and arts programRaised funds for native 2 native youth conferencesOrganized and chaperoned field trips to Yellowknife, NWT and Edmonton, AB for local studentsCURRENT VOLUNTEER ACTIVITIESHeart of Hastings Hospice – Board Member and SecretaryJunior Achievement, Trent Hills – presenter and fundraiserFounder of Trent Hills “Freedom Awards” for graduating grade 8 classesWarkworth Institute (penitentiary) – community outreach volunteer St. Mary’s Church, Campbellford, ON – finance committee memberWarkworth “Artworth” Summer Camp – top financial supporter & advisorWarkworth Lilac Festival Photo Awards – top financial supporterWarkworth Community Service Club – financial supporter and volunteerWarkworth Curling Club – special auditorPROFESSIONAL DEVELOPMENTCFP candidate – FPSC Level 1Fellow of Canadian Securities Institute (FCSI?)Personal Financial Planner (PFP?)Canadian Institute of Financial Planners - DiplomaCanadian Securities CourseBranch Compliance Officers' CoursePartners, Directors and Senior Officers CourseAssociate Fellow of the Life Management Institute (LOMA?) EDUCATION2000 Trent University Peterborough, ONJoint HBA – focusing on International Political Studies, Western Political Philosophy & Economics ................
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