About the roleAt 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.
Accountabilities- Strategic Advisory: Act as the primary Subject Matter Expert on Canadian securities regulations. You won't just quote the rules; you'll help our Portfolio Managers navigate them.
- Framework Evolution: Lead the development and continuous enhancement of policies that don't just "tick boxes" but drive operational excellence.
- Operational Oversight: Take the helm of critical functions, including:
- Registrant Obligations: Managing the firm's life-cycle under NI 31-103.
- AML/ATF Excellence: Partnering with the CCO to sharpen our STR filings, KYC/CDD, and reporting.
- Trading & Portfolio Integrity: Overseeing trade surveillance, fair allocation, and best execution.
- Regulatory Liaison: Lead the charge in preparing for and managing examinations from securities regulators and FINTRAC.
- Team Mentorship: Level up the next generation of compliance talent through active coaching and knowledge sharing.
- Registrant Empowerment: 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.
Skills, experience & requirements- Education & Credentials
- Bachelor's degree in Law, Finance, or Business.
- Bonus Points: CFA, CAMS, CSC, or a Master's degree.
- Experience & Skills
- Industry Veteran: 10+ years of progressive compliance experience within Canadian asset management (Portfolio Management or Investment Fund Managers).
- Technical Mastery: Expert-level knowledge of NI 31-103 and FINTRAC requirements.
- Analytical Rigor: The ability to spot a conflict of interest or a regulatory gap from a mile away.
- Influencer: Proven ability to build relationships with individual Portfolio Managers and department heads to foster a culture of compliance.
- Agility: Comfort moving between high-level strategy and the "nitty-gritty" of marketing reviews and client communications.
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.
