Robert Allen
InvestorVice President & Chief Compliance Officer at Caldwell Securities Ltd.
Toronto, Ontario, Canada
Find your path to Robert
114 people in our graph share verified history with Robert — schools, employers, funds. One of them is your warm intro.
Ray SharmaunlockedRobert: together at Caldwell Securities Ltd. (2025–2026)
Robert: together at Caldwell Securities Ltd.
×2Robert: together at IIROC (Investment Industry Regulatory Organization of Canada)
×8Robert: together at British Columbia Institute of Technology
About
Robert Allen is Vice President and Chief Compliance Officer at Caldwell Securities Ltd. He has 20 years of experience in compliance across buy-side and sell-side firms, with a focus on the design and implementation of compliance programs. His areas of expertise include institutional and retail business conduct, trading compliance, AML regulations and systems, regulatory policy analysis, and derivatives compliance.
Experience
- Caldwell Securities Ltd.Vice President, Chief Compliance Officercurrent2021 — presentToronto, Ontario, Canada
- M Partners IncChief Compliance Officer2018 — 2021Greater Toronto Area, Canada
- CredentialDirector, Trading & Institutional Compliance2015 — 2018Greater Vancouver Metropolitan Area
- CredentialSenior Manager, IIROC Compliance & Trade Desk Supervisor2014 — 2015Greater Vancouver Metropolitan Area
- CredentialTrading Desk Supervisor, Provincial Branch Manager2013 — 2014
- HSBC Global Asset ManagementSenior Manager, Corporate Compliance2008 — 2011Greater Vancouver Metropolitan Area
- Raymond James Ltd.VP Institutional Trading Supervision2000 — 2008Greater Vancouver Metropolitan Area
- IIROC (Investment Industry Regulatory Organization of Canada)Sales Compliance Technician1998 — 2000Greater Vancouver Metropolitan Area
Skills & more
Retail & Institutional Sales & Trading ComplianceRegulatory Policy Analysis & DevelopmentFinancial Services ComplianceAML Surveillance, Policy & Procedure Development & AnalysisMutual FundsAsset ManagementSecuritiesEquitiesFixed IncomeCapital MarketsDerivativesInvestments
+10 more
Financial ServicesTradingRisk ManagementOptionsPortfolio ManagementWealth ManagementAnti Money LaunderingFinancial MarketsDue DiligenceHedge FundsFrom Robert's professional profile.
Colleagues at Caldwell Securities Ltd.
Alexander Hutchison
Investment Advisor at Caldwell Securities Ltd.
Alexander Stirpe
Investment Advisor at Caldwell Securities Ltd.
Andrew Scoon
Investment Advisor at Caldwell Securities Ltd.
Angela T. Stirpe
President & COO at Caldwell Securities Ltd.
Brandon De Assuncao
Investment Advisor at Caldwell Securities Ltd.
Brandon Hansen
Treasurer, Director – Independent at Indigenous Growth Fund
Brendan T.N. Caldwell
Director at Caldwell Securities Ltd.
Brian McCreery
Investment Advisor at Caldwell Securities Ltd.
Frequently asked questions
- Who is Robert Allen?
- Robert Allen is Vice President and Chief Compliance Officer at Caldwell Securities Ltd. He has 20 years of experience in compliance across buy-side and sell-side firms, with a focus on the design and implementation of compliance programs. His areas of expertise include institutional and retail business conduct, trading compliance, AML regulations and systems, regulatory policy analysis, and derivatives compliance.
- Where does Robert Allen work?
- Robert Allen is Vice President & Chief Compliance Officer at Caldwell Securities Ltd..
- Where did Robert Allen go to school?
- Robert Allen studied at British Columbia Institute of Technology (Business).
Same school
Also attended British Columbia Institute of Technology71
Kandai YamashitaAssociate at Pangaea Ventures Us Inc.Daven PatelPartner at Bow CapitalJonathan BeckerInvestor at HeadlineDarren ThomsonPrincipal at Vanedge CapitalAndrew ZinchukFounding Partner at ZAS VenturesMary ChowChief Financial Officer at Olivex
+ 65 more
Shared employers
Also worked at Credential1
Also worked at HSBC Global Asset Management645
Matt CherianVenture Partner at Monta Vista CapitalAngela ToyPartner & COO at Golden Gate VenturesGiuseppe DonvitoPartner at P101 VenturesDamien DidierInvestor at DaphniRichard LeeInvestor at MedicxiAdvika JalanResearch Analyst at MMC Ventures
+ 639 more
