Arman Syed — Deputy CCO · Optimize Wealth Management

About

I've spent 12 years in the Financial Services industry. To departments that keeps firms honest and advisors accountable, to facing clients and business partners on the daily. Currently working as a Supervisor, Compliance and Deputy Chief Compliance Officer at Optimize Wealth Management, I sit at the intersection of regulation and operations: supervising daily compliance, AML, managing all NRD filings as Chief AFR, building the policies and training programs the firm runs on, and liaising with CIRO and provincial regulators when it matters most. Before Optimize, I led a team in managing advisor practices across the Great Lakes area in the United States. I specialized in Annuities and Insurance, and Financial Planning for individuals, businesses and trusts. With vast knowledge in the planning space, I now utilize all I learnt, in keeping things in check.

I have extensive experience in running departments, spearheading projects and initiatives with soft and hard launches of new policies, procedures and programs. I am great at driving efficiency and a firm believer that proper management can solve most time crises.

I am currently registered with CIRO as a Supervisor and very recently completed my CCO designations from the Canadian Securities Institute.

Outside of Optimize, I founded PrecisionPrep, an online platform delivering financial and professional-development education content — from regulatory exam preparation to career-growth courses for working professionals.

Sep 2026 –
Present

Zara Prep · precisionprep.ca

Founder, PrecisionPrep

Founded and built PrecisionPrep, an online education platform offering financial and professional-development courses for working professionals — from regulatory exam preparation to career-growth content. Handled everything from course design and content creation to site build and launch.

Course DevelopmentFinancial EducationEntrepreneurship

Nov 2021 –
Present

Optimize Wealth Management · Toronto

Supervisor, Compliance & Deputy CCO

I serve as Compliance Supervisor and Deputy Chief Compliance Officer at Optimize Wealth Management, bringing 12+ years of financial services experience to the role. I led the firm's advisor and dealer transition from OSC to CIRO regulatory frameworks, and today I'm registered as a Supervisor with CIRO and serve as the firm's Chief Authorized Firm Representative, overseeing NRD registrations for every registered individual at the firm. I lead a dedicated compliance team responsible for AML/KYC review and suitability assessment on all new client relationships, and I act as the firm's principal point of contact for compliance — managing the compliance inbox, reviewing marketing materials and new advisor applications, vetting due diligence on incoming financial planners, and partnering with our CCO, Product, Engineering, and Operations teams to build compliance into every new launch. I also liaise directly with CIRO and provincial regulators, support internal and regulatory audits, and oversee the firm's compliance manuals, policies, conflicts-of-interest framework, and training programs. My work bridges regulatory strategy and daily execution, and I'm a trusted resource to portfolio managers, advisors, and leadership on all matters of compliance.

CIRONI 31-103NI 81-102NRD / Chief AFRTrading SupervisionKYC / AMLMarketing ReviewBranch AuditsConflicts of InterestOSC → CIRO Transition

May 2014 –
Jul 2019

Ameriprise Financial Services Inc.

Team Lead – Financial Planning

Managed 42 advisor practices overseeing planning quality and compliance across the Great Lakes area. Led a team of 10, delivering coaching, reviews, and training. Specialized in Annuities, Insurance, and Financial Planning for individuals, businesses and trusts.

Advisor SupervisionTeam LeadershipFinancial PlanningAnnuities & Insurance

2020

Scotiabank · Edward Jones

Early Career — Banking & Investments

Supported banking operations, investment products, and client servicing across two institutions. Branch-level sales and operational support.

Over the years I've taken on a number of projects beyond day-to-day compliance — building programs and frameworks from the ground up that the firm now runs on. A few notable ones:

Training

Dealer Member Training Program

Designed and built the firm's DMTP from scratch. A structured assessment required by all registrants, covering regulatory obligations, conduct standards, and product knowledge. Built the full workflow: question design, fillable assessment, grading, and completion certificates.

Audit

Branch Audit Program

Developed the firm's branch audit program end-to-end. Each branch is audited against a custom assessment matrix, scored across key risk areas, and assigned a formal risk rating. Turned what was previously an informal process into a repeatable, defensible compliance function.

I'm a firm believer that the tools you use are as important as the work itself. I've gone deep on AI — not as a novelty, but as a genuine force multiplier in compliance operations. Two areas where it's had the biggest impact:

Process Automation

Identified repetitive compliance workflows and rebuilt them with AI assistance — reducing manual review time, eliminating bottlenecks, and freeing the team to focus on higher-judgment work.

Reporting

Leveraged AI to overhaul how we produce internal compliance reports — faster turnaround, more consistent structure, and cleaner outputs for senior leadership and regulators.

CSI

Investment Dealers Supervisors Course

CSI

Canadian Securities Course

CSI

Chief Compliance Officer Qualifying Examination

CIRO

Registered Supervisor

Good Standing

Regulatory

CIRO Rules & GuidanceNI 31-103NI 81-102NRD FilingsOSC → CIRO TransitionsKYC / SuitabilityAML / ATFMarketing ReviewTrading SupervisionRegistration

Operational

Compliance Manual DevelopmentPolicy DraftingBranch AuditsConflicts of InterestRisk AssessmentsQA ProcessesBoard ReportingCross-functional Leadership

Tools & Technology

MS Office (Advanced)AI Agents (Advanced)Automation (Advanced)

2014

Doon Business School · India

Post Graduate Diploma in Management (Finance)

2012

GGSIP University · Delhi, India

Bachelor of Business Administration