Senior Manager, Regulatory Compliance

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 ).

About

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

The Senior Manager, Regulatory Compliance isa compliance and financial services expert and a key contributor within the Regulatory Compliance team. In this role you will support the Managing Director, Regulatory Compliance and Chief Privacy Officer with the oversight of the regulatory and data compliance programs at ATB Financial and its subsidiaries.

Through the implementation and monitoring of the regulatory and data compliance programs, you will assist business units to manage and meet their compliance obligations, thereby enhancing ATB Financial’s operational efficiency.

You support the embedding of ATB Financial’s Compliance Program enterprise-wide and contribute to giving ATB Financial a strategic competitive advantage by protecting its reputation, minimizing the risk of investigation, prosecution and penalties, and preventing the loss of new and existing customers.

Extensive knowledge of regulatory compliance, data compliance, legal interpretation and the financial services sector are essential for this role.

Accountabilities

• Identify, assess and communicate regulatory risks, emerging laws, rules, regulations and prescribed practices to the first line of defence.
• Conduct legal and regulatory research and provide guidance to business units on complex compliance questions.
• Conduct risk assessments of business units regulatory requirements and undertake gap analysis.
• Support regulatory inquiries, examination, reporting and the development of compliance policies, procedures and frameworks.
• Review enterprise projects to ensure compliance with applicable legislation.
• Prepare compliance metrics, key risk indicators and reporting of breaches above set thresholds.
• Test the effectiveness of compliance controls, review first line test results and identify gaps where applicable.
• Proactively monitor business unit controls.
• Work with internal stakeholders to implement and manage ATB's Governance, Risk and Compliance tool to reduce duplication of compliance reviews.
• Combine legal interpretation, knowledge of risk management and a comprehensive understanding of the financial services sector in order to identify regulatory developments and emerging compliance risks, and engage in early risk analysis.
  
  

Skills, Experience & Requirements

• University Degree in law, business administration or a related field is preferred
• Minimum or a combined 7 years experience in a risk, compliance, or audit setting in a financial institution, established securities dealer or regulatory agency
• Superior knowledge of regulations, industry standards and best practices applicable to financial institutions inclusive of emerging Payments Modernization requirements
• Ability to clearly explain complex regulatory principles to audiences of various levels
• An enquiring mind, sound judgment and a strategic thinker
• Ability to learn, adapt and remain resilient in a dynamic regulatory and business environment
• Strong project management skills with a proven track record of success with regulatory compliance and technology-based compliance projects
• Strong ability to handle complex issues and a high volume workload with varied time expectations
• Strong team, interpersonal and communication skills, with the ability to work effectively both independently and as a team member
• Effective communicator (both verbal and written) and excellent negotiation and interpersonal skills and ability to work with senior level management in an independent manner
• Excellent knowledge of control testing, reporting procedures and record keeping
• Experience with GRC systems, preferably MetricStream GRC
  
  

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.