How this chief compliance officer deepened his legal knowledge

Matthew Onyeaju has a lot riding on his shoulders. As the chief compliance officer at a large independent investment dealer, he leads a team of more than 50 people that oversees 700 financial advisors. His overarching objective is to make sure those advisors, as well as the firm more broadly, abide by the myriad rules and regulations that govern the securities industry. This task requires a lot of experience. “Securities law is incredibly challenging,” says Onyeaju. “Many rules have an exception, and you’re constantly navigating grey areas.”

To navigate that complexity, the top compliance professionals are always looking to bolster their knowledge in the field. Onyeaju is no exception. In 2018, he enrolled in the securities law specialization of the Osgoode Professional LLM, a rigorous graduate program that he could complete on a part-time basis. The professors helped him step outside his daily work and examine the regulatory framework that shapes the world of finance. “Day to day, you’re not always taking the time to appreciate the evolution of legislation and why it’s happened,” he says. “I was able to think more deeply about the origins of law.” The program also gave Onyeaju new insights into how he can make the dense thicket of regulations comprehensible to advisors working in the trenches.

In August, Onyeaju completed the program. And, without hesitation, he would recommend it to anyone working in the securities field, including compliance professionals and lawyers. “It’s a great point on a resumé,” he says. “And just really invaluable.”