Margarita Pérez

Margarita Pérez hold series 7, 10, 24 and 65 FINRA registrations and is an approved member of the FINRA Non-Public Arbitrator roster. Margarita is a Fordham University graduate with 25+ years of experience in the banking, mutual fund, brokerage, and money management industries, specializing in Compliance, Auditing, Training, Risk Assessment and Supervision.

Margarita has been involved in a wide variety of projects including sub-advisory due diligence, RNDIP, developing and delivering Compliance testing training and conducting bank branch inspections.   Margarita played a key role in the development of significant data analytics driven reports to support oversight of senior adult financial abuse.

Margarita is active in community volunteering and is one of the recipients of Royal Bank of Canada's prestigious Global Citizen Award which recognizes colleagues with a passion for driving positive change in diversity, inclusion, and climate initiatives in their community.

6d. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate - CLOSED)