Senior Manager Policy Governance and Training

ATB•Edmonton, AB

14h

About The Position

This is a temporary 12-month term opportunity. As ATBSI's next Compliance Policy and Training Senior Manager, you will be 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.

Requirements

Extensive knowledge or exposure to the provincial Securities Legislation, CIRO 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
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
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

Nice To Haves

Experience with marketing and communications approvals would be an asset
Canadian Investment Regulatory Exam (CIRE) and/or Canadian Securities Course (CSC)
Retail Securities Exam
Branch Managers Qualifying Exam or Investment Dealers Supervisor Course
Eligible for registration, or willing to be registered as an CIRO supervisor

Responsibilities

Maintain and adapt the written Compliance policies and procedures to ensure consistency with all applicable regulatory requirements.
Implementing/remediating gaps in existing policies
Communicate updates or changes to all employees of ATB Securities.
Responsible for keeping up to date with all applicable CIRO, and CSA regulations as they relate to ATB Securities Inc.
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