TOM TIEN 

HEAD OF ADVISOR DISTRIBUTION

KAREN LAREDO

BA

CHIEF COMPLIANCE OFFICER

Karen is Lorica’s Chief Compliance Officer and is also a Director of the firm. She is responsible for the management, implementation and supervision of Lorica’s compliance policies, process and framework.

Karen has 15 years of compliance experience, having held a variety of positions at several different firms. Her experience has allowed her to gain knowledge in compliance as well as risk management and operations. Prior to joining Lorica, Karen was a Senior Compliance Officer at Dundee Securities Ltd; she was appointed the firm’s Designated Complaints officer, Alternate AML Officer, the Firm’s Registrations officer and acted as a back-up to the Chief Compliance Officer. Karen also worked in compliance for TD Asset Management and BMO Nesbitt Burns.

Karen has completed several industry related courses at the Canadian Securities Institute and has a BA from York University. When Karen is not at work, she enjoys cooking and drinking wine, but more importantly, spending time with her family, taking piano lessons with her son, attending toy conventions and classic car shows. Karen is also active in her community on her condo board and at her son’s school.