Director, Regulatory Initiatives & Dealer Strategy (Toronto)

About the Role

The Director, Regulatory Initiatives & Dealer 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

Strategy & Readiness

• Supervisory Framework: Oversee the implementation of regulatory changes and translate to firm strategy.
• CIRO Material Business Change Filings & Exemptions: Point of contact for regulatory submissions to CIRO, including exemptive relief and material business change filings.
• Policy Architecture: Oversee and maintain policies and procedures, and development of new policies.
• Contractual Compliance: Lead the creation of documents and templates related t...