Senior Manager, Compliance

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 At ATB Investment Management, we don’t just follow regulations—we build trust. We are looking for a powerhouse Senior Manager of Compliance to join us, you will be a key architect in strengthening our compliance framework across our Portfolio Management operations. Reporting directly to the CCO, you will act as a strategic advisor, technical expert, and mentor. If you thrive on the nuances of NI 31-103 and the complexities of AML/ATF and want to leave a lasting mark on a leading Investment Management firm, this is your seat at the table. ## Accountabilities * Strategic Advisory: Act as the primary Subject Matter Expert on Canadian securities regulations. You won’t just quote the rules; you’ll help our Portfolio Managers navigate them. * Framework Evolution: Lead the development and continuous enhancement of policies that don't just "tick boxes" but drive operational excellence. * Operational Oversight: Take the helm of critical functions, including: * Registrant Obligations: Managing the firm’s life-cycle under NI 31-103. * AML/ATF Excellence: Partnering with the CCO to sharpen our STR filings, KYC/CDD, and reporting. * Trading & Portfolio Integrity: Overseeing trade surveillance, fair allocation, and best execution. * Regulatory Liaison: Lead the charge in preparing for and managing examinations from securities regulators and FINTRAC. * Team Mentorship: Level up the next generation of compliance talent through active coaching and knowledge sharing. * Registrant Empowerment: Build and deliver a robust registrant training program that translates complex NI 31-103 requirements into actionable knowledge for Portfolio Managers and Associate Advising Representatives, ensuring they are fully equipped to meet their initial and ongoing proficiency obligations. ## Skills, experience & requirements * Education & Credentials * Bachelor’s degree in Law, Finance, or Business. * Bonus Points: CFA, CAMS, CSC, or a Master’s degree. * Experience & Skills * Industry Veteran: 10+ years of progressive compliance experience within Canadian asset management (Portfolio Management or Investment Fund Managers). * Technical Mastery: Expert-level knowledge of NI 31-103 and FINTRAC requirements. * Analytical Rigor: The ability to spot a conflict of interest or a regulatory gap from a mile away. * Influencer: Proven ability to build relationships with individual Portfolio Managers and department heads to foster a culture of compliance. * Agility: Comfort moving between high-level strategy and the "nitty-gritty" of marketing reviews and client communications. 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.