Manager, Compliance Assurance

ATB Financial; Edmonton; On-site; CAD 85,000 - 100,000; Full time

Job summary

A leading financial institution is seeking a Manager, Compliance Assurance to enhance compliance monitoring and testing programs. This role involves collaborating with various teams, conducting risk assessments, and ensuring regulatory compliance. The ideal candidate will possess strong analytical, communication, and project management skills, along with relevant experience in risk and compliance. Join a culture that values impact, collaboration, and continuous improvement.

Qualifications

• Minimum 5 years of experience in risk, compliance, and assurance.
• Experience with Audit, Public Accounting, and/or Consulting.

Responsibilities

• Develop and maintain regulatory monitoring and testing programs.
• Conduct testing to assess compliance controls and document findings.
• Prepare key regulatory compliance reporting for management.

Skills

Communication

Collaboration

Analytical Skills

Project Management Skills

Organizational Skills

Education

Post-secondary education in Accounting, Finance, Risk Management

CIA, CRMA, CPA, CGA, CA, or MBA

Job description

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At ATB, we exist to make it possible for our clients, team members and communities. Our purpose is more than aspirational. It's a real commitment we live every day through our values (what we call the ATB ID ).

About

Life at ATB is about more than work. In fact, we’re consistently recognized as one of Canada's top employers thanks to our high-care, high-performance culture, upheld by the three commitments we make to our team members:

Impact in action: No matter where you are in the organization, you're empowered to make an impact in the lives of our clients and communities.

Thrive together: We want you—the unique, authentic you—to feel safe and celebrated at work. We're on a continuous journey to build the most flexible and inclusive programs.

Ready for tomorrow: We want to enable your success through interesting and challenging work, performance enablement, and learning and development.

About The Role

The Manager, Compliance Assurance is a compliance assurance expert and a key contributor within the Compliance Assurance team. In this role, you will support the Senior Manager, Compliance Assurance in the execution of best practice compliance assurance strategy to enhance an effective enterprise-wide compliance monitoring and testing program at ATB.

You will play a pivotal role in safeguarding ATB against regulatory risk and fostering a strong risk and compliance culture. You'll collaborate closely with process owners to validate and test compliance controls, assess compliance risks, and support the effective execution of ATB's Compliance Programs. Building strong cross-functional partnerships with team members will be essential as you conduct risk assessments and document key control activities for regulatory compliance processes.

Additionally, you will be a key stakeholder in the implementation and application of Governance, Risk & Compliance (GRC) initiatives and Compliance Management platform at ATB Financial.

Accountabilities

• Develop, implement, and maintain a robust regulatory monitoring and testing program, including designing testing strategies and facilitating interviews with business units to understand and document key risks and controls.
• Conduct thorough testing to assess the design and effectiveness of regulatory compliance controls, document findings, and present results to senior management for review.
• Actively participate in the ongoing regulatory risk assessment process for ATB Financial and serve as a key stakeholder in the implementation and application of Governance, Risk & Compliance (GRC) initiatives.
• Manage the implementation of enterprise Securities Trading policy, controls and platforms (preferably MyComplianceOffice) related to Securities Trading Pre-Clearance.
• Prepare key regulatory compliance reporting for senior management, the board of directors and regulators.
• Collaborate with process owners to identify and implement mitigation strategies for resolving deficiencies.
• Support with management of the Risk and Control Self-Assessment (RCSA) and Business Continuity Management program within the team, including the completion of the Business Continuity Plan (BCP) and Business Impact Analysis (BIA).
• Provide training on handling material non-public information and optimal testing methods for Regulatory Compliance.
• Proactively mentor team members to foster their professional development.
  
  

Skills, Experience & Requirements

• Education and Professional Designations: Post-secondary education in Accounting, Finance, Risk Management or equivalent is required. Professional designations such as CIA, CRMA, CPA, CGA, CA, or MBA are preferred.
• Professional Background: Experience with Audit, Public Accounting, and/or a Consulting firm is considered a valuable asset.
• Relevant Experience: Minimum or combined 5 years of proven experience in risk, compliance and assurance environment. Demonstrated proficiency in controls testing, risk assessment, and reporting.
• Communication and Collaboration: Strong written and verbal communication skills. Ability to collaborate effectively, influence others, and motivate team members at all levels within ATB.
• Adaptable and Resilience: A high degree of initiative with the ability to meet deadlines independently, demonstrate the capacity to remain resilient and adapt to a dynamic work environment and evolving regulatory landscape.
• Proactive and Results-Oriented: A proactive approach to identifying, assessing, and addressing compliance issues is expected. The ideal candidate will be self-motivated with a strong sense of ownership, a focus on achieving tangible results, and a commitment to driving continuous improvement within the compliance assurance function.
• Team and Client Focus: Embodies a client-focused and team-driven mentality, serving as a positive role model for colleagues.
• Organizational Skills: Strong ability to prioritize activities, with excellent time management and organizational skills.
• Project Management Skills: Strong project management skills with a proven track record of success with regulatory compliance and technology-based compliance projects
• Attention to Detail: Possesses a quality control mindset and meticulous attention to detail, balanced with a practical and reasonable approach.
• Analytical Skills: Robust analytical and interpretive skills to effectively recognize and comprehend complex issues, policies, regulatory requirements, and industry information impacting ATB's environment.
  
  

Don’t meet all the requirements on the list?

A resume only goes so far in expressing who you are and the unique perspectives you bring. If you believe your skills and experience align with the role—but you might not check all the boxes—we want to hear from you. We encourage candidates from all work backgrounds, equity-seeking communities and experience levels to apply. If you’re seeking a career where your drive, perspective and growth are celebrated, we want to hear from you.

We’re dedicated to building a workforce reflective of those within our communities, and a culture where our team members are equipped with what they need to succeed—their way. Part of creating an inclusive workplace is recognizing our role in advancing Truth and Reconciliation. We are committed to meeting and exceeding the standards set out in the Partnership Accreditation in Indigenous Relations program created by the Canadian Council for Aboriginal Business.

What happens next?

If you are shortlisted, you’ll hear from us after the posting closes. Check out our How We Hire page to learn more about our hiring process. If you need any accommodations throughout this process, please let us know at [e-mail]

Stay in touch

We’re excited that you’re interested in a career with ATB. Follow us on LinkedIn , Facebook and Instagram to learn more about what our team is up to.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking

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