Harvinder Anand
Regional Compliance Manager @ATB Wealth
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WORK HISTORY
Regional Compliance Manager @ATB Wealth
Calgary, AB, CA
ABOUT HARVINDER ANAND
Responsible for sales compliance supervision at ATB Securities Inc.(ATBSI), a securities dealer regulated by the Canadian Investment Regulatory Organization (CIRO) and the largest retail subsidiary under ATB Wealth.• Review and approval of new client accounts and “Know Your Client” (KYC) updates.• Monitoring trade activity and communications;• Exception reporting for sales units;• General compliance support and education;• Proactive monitoring of risk trends within ATBSI and collaborating on solutions to mitigate regulatory and reputational risk;• Remaining up-to-date on industry initiatives and obligations particularly as mandated by CIRO, FINTRAC and the CSA.
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