Job Description
Elevate your career as the Director of Compliance Initiatives & Managed Account Strategy at ATB Securities Inc. Focus on both compliance and strategic growth for the firm.
This senior leadership role involves bridging compliance activities with strategic initiatives at ATB Securities. Your role encompasses managing high-impact projects to refine the supervisory framework for upcoming discretionary products. You will support growth within the firm by ensuring all regulatory requirements are met through comprehensive policy architecture and training initiatives.
Key Responsibilities:
• Design Managed Account supervisory program per CIRO IDPC Rule 3900
• Lead development of compliance policies and procedures
• Oversee portfolio model supervision and trading activities
• Implement technology for portfolio management systems
• Support training initiatives for advisors and policy compliance
Requirements:
• 7-10 years in senior compliance or portfolio operations
...
This senior leadership role involves bridging compliance activities with strategic initiatives at ATB Securities. Your role encompasses managing high-impact projects to refine the supervisory framework for upcoming discretionary products. You will support growth within the firm by ensuring all regulatory requirements are met through comprehensive policy architecture and training initiatives.
Key Responsibilities:
• Design Managed Account supervisory program per CIRO IDPC Rule 3900
• Lead development of compliance policies and procedures
• Oversee portfolio model supervision and trading activities
• Implement technology for portfolio management systems
• Support training initiatives for advisors and policy compliance
Requirements:
• 7-10 years in senior compliance or portfolio operations
...