Carlos Amoranto

Partner, Regulatory Compliance - Financial Services
Amoranto Consulting

CARLOS AMORANTO is a Partner,Regulatory Compliance-Financial Services, at Amoranto Consulting. A seasoned regulatory compliance professionalwith over 15 years industry experience and expertise within financial services,banking and brokerage firms across Canada, Carlos provides subject matterexpertise for the following compliance initiatives – FATCA, QualifiedIntermediary, and AML. In addition to acting as an external auditor for theIRS’ QI program, Carlos has acted as program and project lead roles for theQualified Intermediary and FATCA programs by acting in an Advisory capacity toassist firm in meeting their compliance requirements. Carlos has conductedOperational and Strategic compliance training sessions, conducting ComplianceHealth Checks, and working on teams on other compliance initiatives for firmsregulated by the OSC, IIROC, MFDA, and OSFI. Carlos is a graduate from the University of British Columbia.  Amoranto Consulting can provide Advisory,Tax, and Audit services for the following: conduct external audits for theQualified Intermediary(QI) Anti-Money Laundering (AML),OSC/IIROC/MFDA/SEC/FINRA and FATCA regulatory initiatives; Compliance reviewsand regulatory audits for firms regulated by the OSC, SEC, IIROC, MFDA, andOSFI; Internal audit outsourcing including IT auditing, operational auditing,auditing in accordance with the IIA’s International Standards for theProfessional Practice of Internal Auditing (the “Red Book”), SOX auditing, andNI 52-109 (CSOX) using COSO and COBIT frameworks; Advisory services on mattersrelating to QI, FATCA, AIFMD, AML, CASL and Dodd-Frank Act (DFA) (Volcker Rule)regulatory compliance programs; Conduct external audits for the QualifiedIntermediary(QI) Anti-Money Laundering (AML), OSC/IIROC/MFDA/SEC/FINRA andFATCA regulatory initiatives; Compliance reviews and regulatory audits forfirms regulated by the OSC, SEC, IIROC, MFDA, and OSFI; Internal auditoutsourcing including IT auditing, operational auditing, auditing in accordancewith the IIA’s International Standards for the Professional Practice ofInternal Auditing (the “Red Book”), SOX auditing, and NI 31-103, and 52-109(CSOX) using COSO and COBIT frameworks; and Advisory services on matters relatingto QI, FATCA, AIFMD, AML, and Dodd-Frank Act (FDA)/Volcker Rule regulatoryprograms.