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About
Darren Gross
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Darren J. Gross has been involved in the Canadian financial industry since 2004 when he joined the Alberta Securities Commission as Enforcement Counsel after a successful stint with the City of Calgary as a litigator. He joined the Investment Dealers Association of Canada, now known as the Investment Industry Regulatory Organization of Canada, where he was also an Enforcement Counsel. After this time working with the regulators, he joined ATB Investor Services as Senior Securities Regulatory Counsel. Darren took on a variety of additional responsibilities’ including Risk Manager, Registrations Department Lead and Chief Compliance Officer of ATB Investment Management Inc. After ATB, Darren joined Grayhawk Investment Strategies Inc. as Chief Compliance Officer and General Counsel.

 

Darren formed Clarity Compliance Consulting to provide focussed and affordable legal and compliance services to the Canadian wealth management industry.

Darren earned his Law degree from Queens’ University, a Certificate in Management and a Bachelor of Administrative Studies from York University and a Bachelor of Education from the University of Alberta. Darren has also completed the Branch Managers Course, Conduct and Practices Handbook, Chief Compliance Officers Course, Partners, Directors and Senior Officers Course and the Canadian Securities Course.
 

Education

Bachelor of Laws 

   Queens University

Bachelor of Education 

   University of Alberta

Bachelor of Administrative Studies 

   York University

Certificate of Management

   York University

Experience

Greyhawk Investment Strategies

CCO, General Counsel 2.5 years

ATB Investment Management

CCO 3 years

ATB Investor Services

Sr. Securities Regulatory Counsel 5 years

IIROC

Enforcement Counsel 2 years

Alberta Securities Commission

Enforcement Counsel 1 year

City of Calgary Law Department

Litigator 6.5 years

Industry Courses

 

Canadian Securities Course                          

Conduct and Practices Handbook                 

Partners, Directors, Senior Officers Course

Branch Manager's Course

Chief Compliance Officers Course

Licenses

Member of the Law Society of Alberta

Member of the Canadian Bar Association

Member of the Canadian Corporate Counsel Association

Endorsed Skills
  • Leadership

  • Emotional Intelligence

  • Collaborative & Creative Problem Solving

  • Compliance Management

  • Interdisciplinary Collaboration

Industry Knowledge
  • Risk Management

  • Financial Advisory

  • Regulatory Compliance

  • Legal Writing

  • Legal Advice

  • Civil Litigation

  • Portfolio Management