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
As ATB's next Compliance Manager you'll be a highly solution oriented, analytical and collaborative compliance partner championing our commitment to regulatory excellence and advisor enablement. You'll play a crucial role in reviewing communications, approving marketing and conducting supervisory reviews, all while helping to proactively identify and mitigate risks, and make recommendations for improvement.


Please note: The position's paygrade is currently under review.


Accountabilities
Conduct supervisory review of electronic communication, including social media reviews Review and approve marketing material and collaborating with partners in marketing and advisory service teams to ensure adherence to internal standards and regulatory requirements. Conduct supervisory reviews of external and internal pro account statements in order to mitigate regulatory risk Analyze and report the results of compliance reviews for leadership Liaise with compliance partners including Tier one supervision, AML, policy, governance and training to gather insight and information for compliance assessment. Identify potential compliance concerns and escalate immediately to ensure senior management can address any anomalous activity or regulatory gaps in policy or procedures Support head office compliance reporting including CCO, UDP board reports, and data and trend reporting. Support other areas of other areas of the tier 2 compliance team, including registrations and supplementary compliance reviews Maintain evidence of all oversight and review to demonstrate fulfillment of regulatory and risk management obligations. Responsible for keeping up to date with all applicable CIRO, and CSA regulations as they relate to ATB Securities Inc., including regulatory bulletins and interpretation of regulation Develop, lead and participate in presentations and educational/training sessions when required Identify gaps or opportunities in the current compliance program and make recommendations to leadership Create and maintain educational materials and resources for advisory team members and partners Provide compliance expertise and support with requests for information regarding internal assurance engagements and external audits Cross-train on registration functions to ensure seamless vacation coverage and support during peak periods Contributes to team growth through coaching and knowledge sharing with junior team members. Support in the creation of compliance job aids, and policies and procedures
Skills, experience & requirements
Minimum of 3 years of industry experience with a mutual fund, securities or investment dealer Successful completion of courses taken through the CSI (Canadian Securities Institute):
+ Canadian Securities Course
+ Conducts and Practice Handbook Course
+ Investment Dealer Supervisor's course or Branch Managers Qualifying Exam
Eligible for registration as a CIRO Supervisor A background in internal/external audit, or experience with a regulatory organization, would be beneficial Familiarity with the National Registration Database would be beneficial Ability to work independently and professionally Ability to build strong relationships with all partners of the business Must have an in-depth understanding of compliance regulations within the financial services industry Strong communication skills, both written and oral Self starter with strong organizational skills Possesses strong analytical skills and ability to think outside the box--assists with identification of risks, gaps and redundancies and suggests effective solutions Use strong judgment to ensure client/advisor satisfaction is balanced with overall ATBSI risk appetite
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 talentteam@atb.com


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.