Brian Connell-Tombs

Founder, CT Compliance Consulting in Richmond Hill, Ontario, Canada

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Over the last 20 years, Brian Connell-Tombs has honed a significant rangeof skills that have equipped him to provide a high level of regulatory compliance and risk management services to companies in the securities industry. These services are offered through his Toronto-based firm, CT Compliance Consulting, which specializes in designing and implementing risk management strategies – from operational programs to dispute resolution.

Brian Connell-Tombs has spent the majority of his career with Canada’s regulatory agencies and organizations.

Inthe four years before launching CT Compliance Consulting, Brian served as a manager with the Ombudsman for Banking Services and Investments (OBSI), the leading and independent investigator ofconsumer complaints over banking and investment practices. At OBSI, he led and trained the group’s investigative team and significantly contributed in eliminating a backlog of more than 400 complaints.

From2001 to 2005 and again from 2008 to 2013, Brian served as a senior investigator for the Investment Industry Regulatory Organization of Canada (IIROC), where he planned and executed investigations into alleged violations of IIROC rules. While at IIROC, Brian had theopportunity to research complex issues, oftentimes that involved multi-jurisdictional regulations. He also drafted in-depth reports based on the evidence obtained and analyzed during investigations, and testified in front of disciplinary hearing panels.

From 2005 to 2008, Brian served as a forensic accountant for the Ontario Securities Commission (OSC).

Brian began his professional career in accounting as an auditor and a year later as an investigator for the CRA. He then worked as a Senior Associate in the Financial Advisory Services department for PriceWaterhouseCoopers, and followed this by accepting a position at Ernst & Young in 1999. At E&Y, Brian moved from serving as a Senior Forensic Accountant to working as a manager of Investigativeand Forensic Accounting. Among other highlights, while at the firm, Brian had the opportunity to establish a 30-person temporary officein Charlottetown, PEI to provide litigation support to Veterans Affairs Canada.

Briane arned a bachelor’s degree from the University of Toronto in 1985. He earned his accounting designation (CPA, CMA) in 1991, his Certified Forensic Investigator (CFI) designation in 2001 and a certificate in Investment Dealer Compliance in 2013.