Scott Cooke

Background

About Scott Cooke

Through customer service roles at both TD Bank and Fidelity Investments, I have been exposed to a number of investment vehicles and worked with customers, institution representatives and governments agencies across the mutual fund and personal banking sectors. My experience in Client Services and Compliance has allowed me to develop extensive knowledge on industry rules and regulations, specifically those in relation to mutual fund trade processing and settlement, account administration, and trust account maintenance in accordance with NI 81-102. Through these roles I have learned the necessary skills to make quick decisions on high risk matters to best serve our clients, while still fitting into the regulatory framework that financial institutions must follow. I am currently working at Fidelity Investments as an Senior Compliance Specialist, following a number of years in various client services and operations processing related roles. I am primarily responsible for monitoring of mutual fund operations in relation to settlements and trust account maintenance and oversight on various Compliance programs and policies. In addition, I help manage compliance related escalations for various internal stakeholders on a daily basis, and review of sales communications on behalf of our marketing, product, and communications groups.