Samantha joined Middlefield as Director of Compliance to support the senior management team with the ongoing compliance requirements for Middlefield’s operating entities. Her responsibilities include monitoring for and implementing changes to regulatory requirements, maintaining appropriate policies and procedures, managing compliance-related filings, reviewing sales communications and trading activities, and developing compliance training for staff. Samantha works closely with Middlefield’s CCOs to continually develop the compliance program of our entities regulated by IIROC, the OSC and the FCA (UK), and to respond to regulatory audits.
Samantha is a licensed Ontario lawyer and was called to the Ontario Bar in 2019. Prior to Middlefield, Samantha worked in compliance, regulatory strategy, and operational risk at RBC.
Samantha graduated from the Ivey Business School at Western University with an Honours Business Administration degree, and from Osgoode Hall Law School at York University with a Juris Doctor (JD). In her spare time, she serves as a volunteer Board Member for the Jean Augustine Centre for Young Women’s Empowerment, a Toronto-based charity that provides community programs for young women and girls.
