Rachael Lockhart

Toronto, Canada Area Canada

Compliance Officer at Investment Planning Counsel

Finance / Banking / Insurance

Rachael currently works for Investment Planning Counsel (“IPC”) in their Advisor Services, Compliance Department. She is gaining valuable knowledge and experience while working for both the MFDA and IIROC platform. Before joining IPC, Rachael worked at World Financial Group, and B2B Bank exposing her to the principles of Know-Your-Client (“KYC”), investment suitability, leverage and customer service. Over the past three years, Rachael has held diverse compliance positions, allowing her to build an aptitude for conflict of interest assessments, registrations and AML & Privacy requirements. She combines her customer service skills to provide advisors with solutions. Rachael is a focused ...