Job Description
About the roleThe 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.
AccountabilitiesManaged Account Strategy & ReadinessSupervisory 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 Management (PM) team, focusing on mandate adherence and risk con...
AccountabilitiesManaged Account Strategy & ReadinessSupervisory 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 Management (PM) team, focusing on mandate adherence and risk con...
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