Compliance Manager

ATB•Edmonton, AB

About The Position

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.

Requirements

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
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

Responsibilities

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