Senior Manager, Compliance
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Key skills for this role
About the Role
ATB Investment Management is seeking a Senior Manager of Compliance to strengthen the compliance framework across Portfolio Management operations. The role involves strategic advisory on Canadian securities regulations, leading AML/ATF efforts, and mentoring compliance talent.
Key Skills for This Role
Responsibilities
- Act as primary Subject Matter Expert on Canadian securities regulations, helping Portfolio Managers navigate them
- Lead development and continuous enhancement of compliance policies
- Oversee registrant obligations under NI 31 103
- Partner with CCO on AML/ATF excellence, including STR filings, KYC/CDD, and reporting
- Oversee trade surveillance, fair allocation, and best execution
- Lead preparation and management of examinations from securities regulators and FINTRAC
- Mentor and develop compliance talent through coaching and knowledge sharing
- Build and deliver a robust registrant training program on NI 31 103 requirements
Requirements
- 10+ years of progressive compliance experience within Canadian asset management (Portfolio Management or Investment Fund Managers)
- Expert level knowledge of NI 31 103 and FINTRAC requirements
- Bachelor's degree in Law, Finance, or Business
- Ability to spot conflicts of interest and regulatory gaps
- Proven ability to build relationships and foster a culture of compliance
- Comfort moving between high level strategy and detailed reviews
Full Job Posting
About the Role
- ATB Investment Management is looking for a Senior Manager of Compliance.
- Reporting directly to the CCO, you will act as a strategic advisor, technical expert, and mentor.
- You will be a key architect in strengthening our compliance framework across Portfolio Management operations.
Accountabilities
- Strategic Advisory: Act as primary SME on Canadian securities regulations.
- Framework Evolution: Lead development and continuous enhancement of policies.
- Operational Oversight: Manage registrant obligations, AML/ATF, and trading integrity.
- Regulatory Liaison: Lead preparation for examinations from securities regulators and FINTRAC.
- Team Mentorship: Level up next generation of compliance talent.
- Registrant Empowerment: Build and deliver a robust registrant training program.
Skills, Experience & Requirements
- Bachelor's degree in Law, Finance, or Business.
- Bonus: CFA, CAMS, CSC, or Master's degree.
- 10+ years of progressive compliance experience within Canadian asset management.
- Expert level knowledge of NI 31 103 and FINTRAC requirements.
- Analytical rigor to spot conflicts of interest and regulatory gaps.
- Influencer: proven ability to build relationships and foster a culture of compliance.
- Agility: comfort moving between high level strategy and detailed reviews.
About ATB
- ATB exists to make it possible for our clients, team members and communities.
- Consistently recognized as one of Canada's top employers.
- Committed to building a workforce reflective of communities and advancing Truth and Reconciliation.
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