Job Description

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Our bottom line is different.

There's something special about working at ATB, and it's been recognized on every that matters. Maybe it's our exceptional culture where your is supported through market-leading benefits and you're free to bring your whole self to work. Maybe it's our commitment to a growth mindset and our unrelenting thirst for for fellow Albertans-even the ones who aren\'t our clients.

Whatever it is, you won\'t find a more genuine, driven and knowledgeable group of humans anywhere. We foster a culture of purpose, performance and possibilities. We engage with intense curiosity, and bring our whole selves to work, every day. We know it starts with people like you, so take a chance and start with us.

Job Number: REQ6658
Location: Calgary, Edmonton or Toronto
Hybrid: You\'ll work both remote and onsite, where time onsite is based on your job accountabilities and performance objectives
Apply by: September 10, 2023
Paygrade: M-OTH
System Title: Risk & Compliance Manager 8
# Positions available: 1
Leader Name: Angela Brattly

As ATB Security Inc. (ATBSI)'s next Regulatory Governance and Training Senior Manager, you are the regulatory policy and compliance training subject matter expert. You are an expert facilitator, communicator, and translator. You are responsible for creating and driving programs that enable team members to thrive through constant development and evolution to reach their full potential. You will be responsible for liaising across ATB to identify growth and development opportunities for registrants and leaders, and stay on top of regulatory change and policy updates to assist the business with the evolution of their policies, processes and practices. You actively seek challenges and find opportunities to add value to the business and are highly organized, analytical, and creative.

Key Responsibilities:

• Maintain and adapt the written compliance policies and procedures to ensure consistency with all applicable regulatory requirements

• Implement/remediate gaps in existing policies
• Communicate updates or changes to all employees of ATBSI
• Keep up to date with all applicable CIRO, and CSA regulations as they relate to ATBSI
• Collaborate with the Learning team and other key stakeholders in ATB Wealth in order to coordinate the development, maintenance and delivery of regulatory and supplementary training materials and programs

• Ongoing review and updates to the compliance content of the 90 Day training program for advisors and ensuring the overall program meets regulatory requirements
• Lead the coordination and delivery of compliance related training subjects at Advisor conferences, Compliance conferences and other related events
• Complete updates to internal compliance related forms, and collaborate with internal partners as necessary to ensure they are compliant with regulatory and legal requirements
• Provide consultation and subject matter expertise during regulatory examinations, external audits, and Internal Assurance engagements
• Partner with the compliance leadership team to ensure all marketing and communication material meets regulatory requirements through an approval process
• Partner and collaborate with business and senior leaders in internal risk, operations and compliance to address ongoing projects, risk assessments and other value added pursuits as they relate to the enterprise 10 year strategy

Requirements:

Distinctive Skills:

• Extensive knowledge or exposure to the provincial Securities Legislation, IIROC Rules and Notices, CSA National Instruments and other securities related regulation
• Possessing an understanding of the regulatory landscape including assessing current and new regulatory requirements. Understanding how regulators interpret and apply regulations
• Working experience establishing and maintaining policies and procedures for assessing compliance by the firm
• Ability to translate regulations into relevant digestible materials in order to improve consumption and understanding
• Excellent verbal and written communication skills and the ability to apply them across a full range of audiences
• Demonstrated experience in developing and delivering training programs and presentations
• Ability to build relationships and facilitate collaboration across different levels of the organization
• Ability to manage results and be comfortable with a high level of self accountability and autonomy
• Ability to build strong relationships with all partners of the business
• Self starter with strong organizational skills
• Experience with marketing and communications approvals would be an asset
• Excellent critical thinking and problem solving abilities
• Strong decision-making ability and the ability to resource with internal partners, or related industry resources
• Proven ability to lead and manage projects to deliver results in a rapidly changing environment with multiple priorities
• Proficiency with software applications, including intermediate or greater level of proficiency with Google Suite and comfort with technology
• Asking \'What If? in order to reimagine processes and advisor training on a continual basis. Rooted in our enterprise purpose of We Exist to Make it Possible this may include a combination of personal creativity and seeking out and leveraging of other technologies or services that can be utilized in the training programs to ensure an efficient and easily embraced experience by our team members

Accreditation:

• Bachelor's degree in Commerce, Business, Law, or another applicable field with 5+ years of experience in a CIRO regulated securities firm or equivalent, preferably in a compliance role
• Preference to candidates demonstrating successful completion of, or currently registered for the:

• Canadian Securities Course
• Conduct and Practices Handbook course
• Branch Managers Qualifying Exam or Investment Dealers Supervisor Course
• Eligible for registration, or willing to be registered as an CIRO supervisor

At ATB, we know that as you develop in your career, you gain many transferable skills. If you believe your experience and qualities are what we are looking for, please consider applying!

Interested? If you know one of our team members, BEFORE applying, reach out to them and ask them for a referral link to help your application stand out.

Online applications are preferred. Please let us know if you require any accommodations.

Benefits:

Be great. Be you. Believe.

We are dedicated to building a workforce reflective of the diversity within our communities and creating an environment where every team member has what they need to reach their potential. We encourage candidates from all equity-seeking groups to apply.

What happens ?

Thank you for applying online. If you are shortlisted for this opportunity, you will hear from us after the posting close date regarding next steps. We might ask you to participate in a or phone interview. If you require any accommodations, please let us know.

Stay in touch!

ATB is excited to know you're interested in a career with us! Follow us on , and to get the inside scoop on what our team is up to.

ATB Financial