Richard Scarisbrick, J.D.
Managing Director & Chief Compliance Officer
Richard Scarisbrick joined Northland full-time as the firm’s Chief Compliance Officer (CCO) in June of 2017. He is also on the Board of Directors of the firm. Richard has almost twenty years of experience in the ever-changing Canadian securities and financial institution compliance regulatory environment, including privacy and anti-money laundering experience. Prior to becoming the CCO at Northland, Richard had been providing compliance consulting services to the firm since 2013.
The foundation for Richard’s compliance experience is his formal legal training. Richard has received a Juris Doctor (J.D.) law degree from the University Of Toronto’s Faculty of Law in 2002. He also has a Combined Honors Economics and Political Science bachelor’s degree from McMaster University and has completed several Canadian Securities Institute courses.
Richard began his career in compliance in 1998 at Jones Heward Investment Counsel, while still in law school. After graduating from law school he has progressed through increasingly senior compliance roles with Sionna Investment Managers Inc., which was Canada’s largest start-up portfolio management firm at the time, with CIBC Wealth Management Compliance, which was responsible for regulatory compliance oversight of all CIBC securities and wealth management subsidiaries, and with Leon Frazer and Associates, Ontario’s oldest portfolio management firm.
Richard also has banking risk management and compliance experience as Manager, BASEL Risk Management with Bank of Montreal Financial Group and as the Chief Compliance Officer & Chief Anti-Money Laundering Officer of Community Trust Company, a federally regulated financial institution