Join ATB Securities Inc. as a Senior Director of Compliance Initiatives & Managed Account Strategy, focusing on regulatory compliance and strategic growth. Shape high-impact compliance projects for the firm.
In this senior role, you will be pivotal in aligning compliance and strategic objectives by leading projects that enhance the supervisory framework for discretionary accounts. Your expertise will be crucial in developing operational policies and ensuring adherence to regulatory standards while fostering internal and external partnerships to support firm-wide initiatives.
Key Responsibilities:
• Create and document supervisory frameworks for Managed Accounts
• Establish and maintain compliance policies under IDPC 3900
• Develop review processes for central Portfolio Management oversight
• Serve as primary contact for technology implementation
• Support training initiatives for compliance and onboarding
Requirements:
• Minimum 7-10 years in compliance/portf...