Senior Manager, Compliance

ATB•Edmonton, AB

About The Position

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.

Requirements

Bachelor’s degree in Law, Finance, or Business.
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.
The ability to spot a conflict of interest or a regulatory gap from a mile away.
Proven ability to build relationships with individual Portfolio Managers and department heads to foster a culture of compliance.
Comfort moving between high-level strategy and the "nitty-gritty" of marketing reviews and client communications.

Nice To Haves

CFA, CAMS, CSC, or a Master’s degree.

Responsibilities

Act as the primary Subject Matter Expert on Canadian securities regulations.
Lead the development and continuous enhancement of policies that drive operational excellence.
Manage the firm’s life-cycle under NI 31-103.
Partner with the CCO to sharpen our STR filings, KYC/CDD, and reporting.
Oversee trade surveillance, fair allocation, and best execution.
Lead the charge in preparing for and managing examinations from securities regulators and FINTRAC.
Level up the next generation of compliance talent through active coaching and knowledge sharing.
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.