Vice President & Chief Compliance Officer
Robert R. Allen is Vice President and Chief Compliance Officer of Caldwell Securities Ltd. Mr. Allen is a Senior Compliance professional with 25 years of experience in the design and implementation of compliance programs for buy and sell side firms in our industry. Mr. Allen joined Caldwell in 2021.
As Chief Compliance Officer, Mr. Allen reports directly to the President and UDP and his role is to ensure the firm is in compliance with current regulatory rules and regulations. His Compliance responsibilities include the development and monitoring of internal controls and procedures, staff training and regulatory supervision of all client and firm trading activities. He is also actively engaged with IIROC CCLS and other external industry regulatory policy committees.
Mr. Allen recently returned to Toronto with his wife and son, after living on the West Coast for the last 30 years.