Role Responsibilities Reporting to the Executive Director, the Deputy Superintendent, Financial Institutions Regulation, is responsible for providing leadership and direction to the Financial Institutions Regulation Branch, including the Senior Managers and Managers.

The Deputy Superintendent is responsible for overseeing compliance with the regulatory frameworks for ATB Financial and loan and trust companies under the Loan and Trust Corporations Act.

This includes leading, overseeing, and directing the Financial Institutions Regulation Branch by ensuring the Branch is: Contributing to the development of a risk based plan for the branch, including annual update to the branch operations plan, and related progress reporting on assigned projects, Applying a risk-based approach to supervising assigned entities, including periodic updates to their risk profile and composite risk, or major components thereof, Ensuring that assigned entities maintain an adequate capital management program, appropriate to the nature, size, and complexity of their operations, Ensuring that assigned entities provide an annual confirmation letter regarding compliance with statutory and regulatory compliance requirements applicable to their business operations,



Monitoring the performance and business activities of assigned entities to identify any adverse trends and the potential need for adjusting branch work plans, Conducting on or off-site reviews of assigned entities in accordance with the annual branch operations plan, including the engagement and management of any specialist contract resources where needed, and Contributing to the development and update of related provincial legislation or financial institution policy matters, at the direction of the Executive Director and in conjunction with the Financial Institutions Policy branch.

Also, where appropriate and after due consultation with the Executive Director, and Alberta Superintendent, the role is responsible for developing recommendations for improvement at regulated entities where needed; and for conducting follow-up reviews to ensure that regulated entities have adequately addressed matters needing improvement within agreed time-frames.

Under rare and unusual circumstances, the role may also be required to participate in regulatory intervention proceedings, under the direction of more senior officials in the department up to and including the Superintendent, Deputy Minister, and the Minister.

📌 Deputy Superintendent, Financial Institutions Regulation (Edmonton)
🏢 Government of Alberta
📍 Edmonton