Professional Overview

Rob Theriault is a seasoned executive currently serving as Director at the Canadian Securities Exchange (CSE) in Aurora, Ontario, Canada. His expertise spans regulatory compliance, listings, and investment services, with a strong focus on the financial and securities industry.

Experience Summary

Current Role

As Director at CSE since 2011, Rob oversees key aspects of the exchange's operations, including listings and regulatory affairs. His responsibilities encompass ensuring compliance with regulatory requirements, managing listings processes, and contributing to the strategic development of the CSE. Under his leadership, the CSE has experienced significant growth, with an increase in listed companies and trading activity.

Career Progression

Rob's career progression is marked by notable roles in financial services and securities. Prior to his current position, he served as Manager, Listings & Regulation at CSE from 2003 to 2011. Earlier in his career, he held various positions at TD Canada Trust, including Regional Sales Manager, Area Mortgage Manager, and Relationship Manager. He also worked as an Investment Advisor at Edward Jones and Manager, Enterprise Solutions at Scotiabank. These roles have equipped him with a deep understanding of financial markets, regulatory environments, and leadership principles.

Areas of Expertise

Rob possesses industry-specific skills in securities regulation, listings, and compliance. His technical competencies include expertise in financial analysis, risk management, and operational efficiency. As a seasoned leader, he demonstrates strong management and leadership capabilities, with a proven track record of team management and strategic planning.

Professional Impact

Throughout his career, Rob has contributed significantly to the growth and development of the CSE and the broader financial industry. His work has focused on enhancing regulatory compliance, improving listings processes, and promoting market integrity. While specific metrics on his achievements are not available, his longevity and progression within the CSE underscore his value to the organization and the industry.

Conclusion

Rob Theriault's professional trajectory is characterized by steady growth, from his early roles in banking and financial services to his current leadership position at the CSE. His current focus remains on contributing to the CSE's continued success and evolution. With his extensive experience, expertise, and commitment to the financial and securities industry, Rob offers a unique value proposition as a seasoned executive and regulatory expert.