Senior Manager Policy Governance and Training

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 talentteam@atb.com 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.