Senior Manager, Compliance - ATB Investment Management

ATB Financial; Calgary; On-site; CAD 90,000 - 140,000; Full time

Job summary

ATB Financial is seeking a Senior Manager of Compliance to strengthen its compliance framework. This role requires substantial regulatory knowledge and experience in Canadian asset management compliance, with responsibilities ranging from policy development to oversight and mentorship of compliance team members. The position is critical for ensuring adherence to Canadian securities regulations within the organization.

Qualifications

• 10+ years in Canadian asset management compliance.
• Deep understanding of Canadian securities legislation.
• Experience with regulatory examinations.

Responsibilities

• Oversee compliance functions under NI 31-103 and NI 81-102.
• Develop and implement compliance policies.
• Provide training to staff on compliance topics.

Skills

Analytical

Problem-solving

Communication

Education

Bachelor's degree in Law, Finance, Business

Master's degree or professional designation (e.g., CFA, CSC, CCO, CAMS)

Tools

Compliance management systems

Job description

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).

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

We are seeking a highly motivated and experienced Senior Manager, Compliance to join our dynamic compliance team. Reporting directly to the Chief Compliance Officer (CCO), you will play a critical role in strengthening our compliance framework, providing expert guidance, and overseeing key areas of our compliance program across our Portfolio Management and Investment Fund Management operations. This is an excellent opportunity for a seasoned compliance professional to contribute significantly to a leading firm in the Investment Management space.

Accountabilities

• Regulatory Expertise: Act as a subject matter expert on Canadian securities regulations, particularly National Instrument 31-103 (NI 31-103), National Instrument 81-102 (NI 81-102), National Instrument 81-107 (NI 81-107), and FINTRAC requirements.
• Policy & Procedure Development: Lead the development, implementation, and continuous enhancement of compliance policies, procedures, and controls to ensure adherence to all applicable laws and regulations.
• Oversight of Key Areas: Directly manage and provide oversight for critical compliance functions, which may include:
  
  • Registrant Obligations: Oversee firm and ongoing obligations under NI 31-103 for the Portfolio Management Firm.
  • AML/ATF Program: Support the CCO in managing and enhancing the firm's AML/ATF program, including STR filings, KYC/CDD, and training.
  • Investment Fund Compliance: Manage compliance programs for our investment funds, including prospectus and offering memorandum reviews, continuous disclosure, and IRC-related matters.
  • Trading & Portfolio Compliance: Monitor and enhance controls related to trade surveillance, personal trading, fair allocation, and best execution for all portfolio management activities.
  • Marketing & Client Communications: Review and approve marketing materials, client reports, and other communications to ensure compliance with advertising rules.
• Advisory & Training: Provide expert compliance advice and guidance to business units, our individual Portfolio Managers, and other stakeholders. Develop and deliver engaging compliance training sessions to staff.
• Regulatory Engagement: Assist the CCO in preparing for and responding to regulatory examinations, inquiries, and audits from Canadian securities regulators and FINTRAC.
• Risk Assessment: Contribute to the firm's compliance risk assessments, identifying potential risks and developing mitigation strategies.
• Projects & Initiatives: Lead or participate in various compliance projects, including the implementation of new regulatory requirements or compliance technology solutions.
• Mentorship: Mentor and guide junior compliance professionals, fostering their growth and development within the team.

Skills, experience & requirements

• Bachelor's degree in Law, Finance, Business, or a related field. A relevant Master's degree or professional designation (e.g., CFA, CSC, CCO, CAMS) is highly desirable.
• Minimum of 10 years of progressive compliance experience within the Canadian asset management industry, specifically with Portfolio Management Firms and/or Investment Fund Managers.
• Deep and practical understanding of Canadian securities legislation, including NI 31-103, NI 81-102, NI 81-107, and FINTRAC requirements.
• Strong knowledge of compliance best practices in areas such as KYC, suitability, trading practices, personal trading, conflicts of interest, and advertising.
• Experience with regulatory examinations and strong report-writing skills.
• Excellent analytical, problem-solving, and communication (written and verbal) skills.
• Ability to work independently, manage multiple priorities, and thrive in a fast-paced environment.
• Proven ability to build strong relationships and influence stakeholders across various departments.
  Proficiency with compliance management systems and relevant industry software.

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 Relationsprogram 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.