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Senior Manager, Regulatory Compliance

ATB Financial

This is a Contract position in Vimont, al posted October 29, 2021.

Description Listening to Albertans.

Going deeper to understand who they are and where they’re going.

Translating the complex world of banking and investing into brilliantly simple solutions.

Through all this, we believe we can create happiness.

This is the ATB way.

The Senior Manager, Regulatory Compliance is a compliance and financial services expert and a key contributor within the Regulatory Compliance team.

The role supports the Director Regulatory Compliance and Chief Privacy Officer with the oversight of the regulatory and privacy compliance programs at ATB Financial and its subsidiaries.

The primary focus of the role is to: Identify, assess and communicate regulatory risks, emerging laws, rules, regulations and prescribed practices to the first line of defence Conduct legal and regulatory research and provide guidance to business units on complex compliance questions Conduct risk assessments of business units regulatory requirements and undertake gap analysis Support regulatory inquiries, examination, reporting and the development of compliance policies, procedures and frameworks Review enterprise projects to ensure compliance with applicable legislation.

Prepare compliance metrics, key risk indicators and reporting of breaches above set thresholds.

Test the effectiveness of compliance controls, review first line test results and identify gaps where applicable Proactively monitor business unit controls Work with internal stakeholders to implement and manage ATBs Governance, Risk and Compliance tool to reduce duplication of compliance reviews Combine legal interpretation, knowledge of risk management and a comprehensive understanding of the financial services sector in order to identify regulatory developments and emerging compliance risks, and engage in early risk analysis.

Through the implementation and monitoring of the compliance program, the incumbent assists business units to manage and meet their compliance obligations, thereby enhancing ATB Financial’s operational efficiency.

The Senior Manager, Regulatory Compliance supports the embedding of ATB Financial’s Compliance Program enterprise wide and contributes to giving ATB Financial a strategic competitive advantage by protecting its reputation, minimizing the risk of investigation, prosecution and penalties and preventing the loss of new and existing customers.

Extensive knowledge of regulatory compliance, legal interpretation and the financial services sector are essential for this role.

Requirements As the ideal candidate you possess: University Degree in law, business administration or a related field is preferred Minimum or a combined 7 years experience in a risk, compliance, or audit setting in a financial institution, established securities dealer or regulatory agency Superior knowledge of regulations, industry standards and best practices applicable to financial institutions inclusive of emerging Payments Modernization requirements Ability to clearly explain complex regulatory principles to audiences of various levels An enquiring mind, sound judgment and a strategic thinker Ability to learn, adapt and remain resilient in a dynamic regulatory and business environment Strong project management skills with a proven track record of success with regulatory compliance and technology-based compliance projects Strong ability to handle complex issues and a high volume workload with varied time expectations Strong team, interpersonal and communication skills, with the ability to work effectively both independently and as a team member Effective communicator (both verbal and written) and excellent negotiation and interpersonal skills and ability to work with senior level management in an independent manner Excellent knowledge of control testing, reporting procedures and record keeping Experience with GRC systems, preferably MetricStream GRC