Regional 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 Regional Compliance Manager, you will be responsible for sales compliance supervision at ATB Securities Inc. (ATBSI), a securities dealer regulated by the Canadian Investment Regulatory Organization (CIRO) and the largest retail subsidiary under ATB Wealth.
ATB Wealth is the wealth management division of ATB Financial. Here at ATB Wealth our priority is to understand our clients’ goals, provide expert advice, and guide them to solutions that will help them achieve those goals and achieve deeper happiness. We know that reaching our goal depends directly on the quality of our people, and that is why we strive to attract, retain, and develop the best talent available.
Do you consider yourself to be a connector, someone who is self-driven and analytical by nature? Do you have a knowledge of the investment industry combined with a passion for doing the right thing and creating collaborative relationships where a culture of compliance can thrive?
Accountabilities
The review and approval of new client accounts and “Know Your Client” (KYC) updates;
Monitoring trade activity and communications;
Exception reporting for your sales units;
General compliance support and education
Proactive monitoring of risk trends within the organization and collaborating on solutions to mitigate regulatory and reputational risk;
Remaining up-to-date on industry initiatives and obligations particularly as mandated by CIRO, FINTRAC and the CSA
Skills, experience requirements
Minimum of 3-5 years of industry experience with a mutual fund, securities or investment dealer in a compliance or supervision role
Successful completion of courses taken through the CSI (Canadian Securities Institute):
Canadian Securities Course
Conduct and Practices Handbook Course
Branch Managers Qualifying Exam and/or Investment Dealer Supervisors Course
Eligible for registration as a CIRO Supervisor
A background in internal/external audit, or experience with a regulatory organization is an asset
Ability to work independently and professionally
Ability to build strong relationships with all partners of the business
Understand the need to balance regulation, principles-based risk mitigation, and client obsession
Strong communication skills, both written and oral
Self starter with strong organizational skills
Strong analytical skills and ability and willingness to challenge the status quo
-assists with identification of risks, gaps and redundancies and suggests effective solutions
Uses strong judgment to ensure client/advisor satisfaction is balanced with overall ATBSI risk appetite
Willingness to continually learn new skills and technologies, take ownership of career development and professional opportunities and grow your compliance network
An in-depth understanding of compliance regulations within the financial services industry
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.
Apply Now
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 Regional Compliance Manager, you will be responsible for sales compliance supervision at ATB Securities Inc. (ATBSI), a securities dealer regulated by the Canadian Investment Regulatory Organization (CIRO) and the largest retail subsidiary under ATB Wealth.
ATB Wealth is the wealth management division of ATB Financial. Here at ATB Wealth our priority is to understand our clients’ goals, provide expert advice, and guide them to solutions that will help them achieve those goals and achieve deeper happiness. We know that reaching our goal depends directly on the quality of our people, and that is why we strive to attract, retain, and develop the best talent available.
Do you consider yourself to be a connector, someone who is self-driven and analytical by nature? Do you have a knowledge of the investment industry combined with a passion for doing the right thing and creating collaborative relationships where a culture of compliance can thrive?
Accountabilities
The review and approval of new client accounts and “Know Your Client” (KYC) updates;
Monitoring trade activity and communications;
Exception reporting for your sales units;
General compliance support and education
Proactive monitoring of risk trends within the organization and collaborating on solutions to mitigate regulatory and reputational risk;
Remaining up-to-date on industry initiatives and obligations particularly as mandated by CIRO, FINTRAC and the CSA
Skills, experience requirements
Minimum of 3-5 years of industry experience with a mutual fund, securities or investment dealer in a compliance or supervision role
Successful completion of courses taken through the CSI (Canadian Securities Institute):
Canadian Securities Course
Conduct and Practices Handbook Course
Branch Managers Qualifying Exam and/or Investment Dealer Supervisors Course
Eligible for registration as a CIRO Supervisor
A background in internal/external audit, or experience with a regulatory organization is an asset
Ability to work independently and professionally
Ability to build strong relationships with all partners of the business
Understand the need to balance regulation, principles-based risk mitigation, and client obsession
Strong communication skills, both written and oral
Self starter with strong organizational skills
Strong analytical skills and ability and willingness to challenge the status quo
-assists with identification of risks, gaps and redundancies and suggests effective solutions
Uses strong judgment to ensure client/advisor satisfaction is balanced with overall ATBSI risk appetite
Willingness to continually learn new skills and technologies, take ownership of career development and professional opportunities and grow your compliance network
An in-depth understanding of compliance regulations within the financial services industry
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.