Compliance Manager

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 risk, and make recommendations for improvement.

This role will be primarily focused on supporting the registrations team to ensure ongoing regulatory compliance and operational excellence, while simultaneously providing critical support to the Tier 2 compliance team by assisting with supervisory reviews, monitoring activities, and ensuring adherence to internal and regulatory standards.

## Accountabilities

• Key Accountabilities

• Manage registration workflows via the internal database (Vigilant) and the National Registration Database (NRD).
• Analyze individual registration requirements, assessing suitability and preparing recommendations (exemptions/extensions) for leadership approval.
• Monitor post-licensing and supervision requirements, maintaining evidence of oversight to ensure regulatory obligations are met.
• Interpret CIRO and National Instrument rules, advising leadership on requirements, issues, and anomalies.
• Conduct supervisory and audit reviews as part of a Tier 2 head office function, including comprehensive oversight of electronic communications (including social media), advisor audits, and internal/external pro account statements.
• Review and approve marketing materials, ensuring adherence to internal standards and regulatory requirements.
• Liaise with cross-functional partners (Tier 1 supervision, AML, policy, governance) to assess compliance and report findings.
• Support head office reporting, including CCO and UDP board reports, as well as data/trend analysis.
• Professional Standards & Operational Excellence (Shared):

• Training & Education: Develop/maintain educational content, resources, and lead training sessions for registrants and advisory teams.
• Risk Management: Proactively identify compliance concerns, policy gaps, or procedural anomalies; escalate to senior management immediately.
• Audit Support: Provide expertise/support for internal assurance engagements and external audits, including data consolidation.
• Relationship Management: Build productive relationships with internal partners (advisory, learning, finance, operations) and the regulator (CIRO).
• Continuous Development: Participate in compliance training, stay current on regulatory bulletins, develop efficiency strategies, and contribute to team growth through coaching.

## Skills, experience & requirements

• Competencies/Skills-Sets Required:
• Ability to work independently and professionally
• Ability to assess findings and determine next steps for addressing gaps
• 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
• Designations / Training Required / Prerequisites:
• Registrations knowledge and a proven background in registration management is a mandatory prerequisite for this role.
• Minimum of 5 years of industry experience with a mutual fund, securities or investment dealer

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 [email protected]

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.