Tracey Stern

Tracey Stern

Senior Vice-President, Chief Compliance Officer* & Lead Regulatory Counsel

Tracey Stern

Tracey Stern is a nationally and internationally recognized expert in securities regulation, specializing in market structure and policy. With a strong track record of managing large-scale, complex projects and possessing significant market insight, Tracey is responsible for ensuring an effective and efficient regulatory framework for the Wellington-Altus group of companies.

Tracey began her career in 1997 as legal counsel in the Market Operations Branch of the Ontario Securities Commission, and most recently held the role of Manager, Market Regulation. She was instrumental in the development of Canada’s regulatory framework relating to competitive markets and market structure, which support investor protection and fair market access while minimizing regulatory burden and facilitating innovation. Tracey also served as Chair and then Vice-Chair of the International Organization of Securities Commissions’ Committee 2 on the Regulation of Secondary Markets. Committee 2 is comprised of subject matter experts focused on advancing the resiliency, integrity, and effectiveness of global capital markets through the examination of developments in market structure and financial market infrastructure.

Tracey holds an LLB from Osgoode Hall Law School and a BA in Economics from the University of Western Ontario (now Western University). She is a member of the Advisory Board of the Master of Financial Innovation & Technology program at the Smith School of Business at Queen’s University.

When not working, Tracey enjoys spending time with her husband, twin teenagers and their menagerie of pets.

*Subject to regulatory approval

Wellington-Altus Private Wealth is a member of the Canadian Investor Protection Fund and the Investment Industry Regulatory Organization of Canada.