ATB Financial
Director, Compliance Initiatives & Managed Account Strategy
Job Description
About the role
The Director of Compliance Initiatives & Managed Account Strategy is a senior leadership role designed to bridge the gap between day-to-day compliance and firm-wide strategic growth. You will lead high-impact projects to support ATB Securities Inc., supporting growth initiatives within the firm, while simultaneously architecting the supervisory and operational framework for the firm’s upcoming launch of centralized discretionary.
Accountabilities
- Managed Account Strategy & Readiness
- Supervisory Framework: Design and document the Managed Account supervisory program in accordance with CIRO IDPC Rule 3900.
- Policy Architecture: Establish and maintain policies and procedures under the managed/discretionary account framework (IDPC 3900).
- Procedures to oversee supervision of portfolio models and trading activities.
- Portfolio Oversight: Develop a Tier III review process for monitoring the central Portfolio Man...