At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
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At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
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At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
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At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
Skills: Customer Service, Sales, Digital Banking Tools, Problem Solving, Decision Making
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
Skills: Customer Service, Sales, Digital Banking Tools, Problem Solving, Decision Making
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
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Client Service Representative - Calgary Westwinds (Part-Time)
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At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
Skills: Customer Service, Sales, Digital Banking, Problem Solving, Decision Making
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID). Life at AT…
Skills: Customer Service, Sales, Digital Banking, Problem Solving, Decision Making
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Full-time
bachelor degree, professional certificate
Posted 2d ago
~40 hrs/week
Responsibilities
The role is responsible for maintaining and adapting compliance policies and procedures to ensure alignment with CIRO and CSA regulatory requirements. It also involves developing and delivering regulatory training programs and providing subject matter expertise during audits and examinations.
Requirements
Candidates need a bachelor's degree and 5+ years of experience in a CIRO regulated securities firm, preferably in compliance. Preferred certifications include the CSC, CIRE, or Branch Managers Qualifying Exam.
Full job description
At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID).
Life at ATB is about more than work. In fact, we’re consistently recognized as one of Canada's top employers thanks to our high-care, high-performance culture, upheld by the three commitments we make to our team members:
Impact in action: No matter where you are in the organization, you're empowered to make an impact in the lives of our clients and communities.
Thrive together: We want you—the unique, authentic you—to feel safe and celebrated at work. We're on a continuous journey to build the most flexible and inclusive programs.
Ready for tomorrow: We want to enable your success through interesting and challenging work, performance enablement, and learning and development.
About the role
Please note: This is a temporary 12 month term opportunity.
As ATBSI's next Compliance Policy 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.
Accountabilities
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
Skills, experience & 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
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 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
Don’t meet all the requirements on the list? A resume only goes so far in expressing who you are and the unique perspectives you bring. If you believe your skills and experience align with the role—but you might not check all the boxes—we want to hear from you. We encourage candidates from all work backgrounds, equity-seeking communities and experience levels to apply. If you’re seeking a career where your drive, perspective and growth are celebrated, we want to hear from you.
We’re dedicated to building a workforce reflective of those within our communities, and a culture where our team members are equipped with what they need to succeed—their way. Part of creating an inclusive workplace is recognizing our role in advancing Truth and Reconciliation. We are committed to meeting and exceeding the standards set out in the Partnership Accreditation in Indigenous Relations program created by the Canadian Council for Aboriginal Business.
What happens next? If you are shortlisted, you’ll hear from us after the posting closes. Check out our How We Hire page to learn more about our hiring process. If you need any accommodations throughout this process, please let us know at [email protected]
Stay in touch We’re excited that you’re interested in a career with ATB. Follow us on LinkedIn, Facebook and Instagram to learn more about what our team is up to.
Powering Possibility, ATB Financial is Alberta's largest home-grown financial institution.
Industry
Banking
Company size
5,001-10,000 employees
Founded
1938
Headquarters
Edmonton, Alberta
LinkedIn followers
116,383
For more than 85 years, ATB has been reimagining the way we do business. We’ve grown from one small treasury branch into Alberta’s largest provincially based financial institution, and we don’t have any plans to slow down now. We power possibility for our clients, our team members and our province—and we’re leading the way to a sustainable, innovative and prosperous future.
About ATB Financial
With $62.0 billion in assets, ATB Financial is a leading financial institution that started in Alberta with the focus of putting people first. Our success comes from our more than 5,000 team members who love to deliver exceptional experiences to over 820,000 clients across our Personal and Business Banking, ATB Wealth Management and ATB Capital Markets businesses. ATB provides expert advice, services and products through our many branches and agencies, our 24-hour Client Care Centre, four entrepreneur centres and our digital banking options. ATB powers possibilities for our clients, communities and beyond.
Offices: 2100, 10020 – 100 Street, Edmonton, Alberta T5J 0N3, CA
Powering Possibility, ATB Financial is Alberta's largest home-grown financial institution.
Industry
Banking
Company size
5,001-10,000 employees
Founded
1938
Headquarters
Edmonton, Alberta
LinkedIn followers
116,383
For more than 85 years, ATB has been reimagining the way we do business. We’ve grown from one small treasury branch into Alberta’s largest provincially based financial institution, and we don’t have any plans to slow down now. We power possibility for our clients, our team members and our province—and we’re leading the way to a sustainable, innovative and prosperous future.
About ATB Financial
With $62.0 billion in assets, ATB Financial is a leading financial institution that started in Alberta with the focus of putting people first. Our success comes from our more than 5,000 team members who love to deliver exceptional experiences to over 820,000 clients across our Personal and Business Banking, ATB Wealth Management and ATB Capital Markets businesses. ATB provides expert advice, services and products through our many branches and agencies, our 24-hour Client Care Centre, four entrepreneur centres and our digital banking options. ATB powers possibilities for our clients, communities and beyond.
Offices: 2100, 10020 – 100 Street, Edmonton, Alberta T5J 0N3, CA