DANIEL WILLIAMS CFA, CA
999 Wallstreet Way
Winnipeg, MB M8S 3V1
danielwilliams@shaw.ca
Home: 555.555.5555
Cell: 555.666.6666
Senior Finance Officer offers over 15 years of perceptive, results-orientated leadership experience
in the Insurance and Banking industries
HIGHLIGHTS OF QUALIFICATIONS

Broad knowledge of Canadian taxation with emphasis on Mutual Fund and Trust tax rules

Professional knowledge of Investment Fund Canadian Generally Accepted Accounting
Principles (GAAP)

Thorough understanding of the range of securities (domestic and foreign equities,
convertible securities, fixed income instruments, cash and short-term instruments and
derivative instruments such as options, futures and forward contracts) and industry products
and processes (fund allocation services, securities lending & retirement/education savings
plans)

Thorough understanding of investment products such as equities, bonds, derivatives, hedge
funds and other alternative investment vehicles

Expert understanding of the risk and regulatory issues related to the area of responsibility

Significant legal/ accounting knowledge including in-depth understanding of OSC’s
regulations regarding mutual funds as well as CICA and IFIC pronouncements on mutual
fund accounting treatments/ disclosures

Knowledge of J.D. Ewards Enterprise One (PeopleSoft) Financials
PROFESSIONAL BACKGROUND
Senior Finance Manager – Investment Funds
January 2005 – present
Capital Financial Services, Winnipeg, MB
 Provide financial and accounting expertise and overall financial governance and regulatory
risk management support to the Director, Investment Funds Group / Chief Financial
Officer Mutual Funds in ensuring the integrity of financial reporting and governance for the
various Fund businesses
 Integrate risk management and control activities for the Investment Funds Group (Fund
Accounting, Client Contact and Admin and Product Implementation
 Ensure appropriate policies and controls are in place to mitigate risk across Investment
Funds Group
 Give overall strategic direction to the various Canadian mutual fund business management
teams
 Ensure financial statements and other required disclosures and documents are in compliance
with applicable regulatory requirements
Daniel Williams
Page 2
Investment Analyst
April 2001 – December 2004
Capital Financial Services, Winnipeg, MB
 Provide clients with the highest level of service possible leading to outstanding asset
retention and new investment mandates
 Work closely with sales and our client service teams, as well as with our portfolio managers
 Build rapport to manage cohesive relationships with investment teams
 Develop and maintain accurate product positioning on the dimensions of portfolio manager
style, process, product attributes, and characteristics
 Deliver regular periodic reviews on assigned product line-up and competitive landscape
within mutual fund and institutional marketplaces where applicable
 Provide portfolio managers with support for marketing and client interactions specifically
designed to meet the needs of the distribution channel in which they are presenting
 Ensure that products are supported with strong baseline documentation and/or collateral
that clearly and accurately reflects the investment merits of each offering
Manager – Financial Services
September 1998 – December 2000
Beauford Banking, Toronto, ON
 Develop strategic plans, annual budgets, quarterly financial forecosts and financial statement
preparation and submission
 Advise on major corporate initiative, including a major $1.2 billion acquisition and capital
reorganization
 Aligned corporate financial and operational strategies with high profile, multi-department
initiatives
 Improved efficiency of department by 80% in meeting month end and year end schedules
 Ensured project account staff perform to corporate expectations
PROFESSIONAL DEVELOPMENT
Chartered Financial Analyst (CFA), CFA Institute
Canadian Investment Manager (CIM) Designation, CSI
Canadian Insurance Course, CSI
2001
1998
1994
EDUCATION
Chartered Accountant
The Institute of Chartered Accountants of Manitoba, Winnipeg, MB
May 1990
Bachelor of Commerce (Finance Major)
University of Toronto, Toronto, ON
May 1989
References Available on Request