Director, Compliance Initiatives & Managed Account Strategy

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 The Director of Compliance Initiatives & Managed Account Strategy is a senior leadership role designed to bridge the gap between day-to-day compliance and firm-wide strategic growth. You will lead high-impact projects to support ATB Securities Inc., supporting growth initiatives within the firm, while simultaneously architecting the supervisory and operational framework for the firm’s upcoming launch of centralized discretionary. ## Accountabilities * Managed Account Strategy & Readiness + * Supervisory Framework: Design and document the Managed Account supervisory program in accordance with CIRO IDPC Rule 3900. * Policy Architecture: Establish and maintain policies and procedures under the managed/discretionary account framework (IDPC 3900) * Procedures to oversee supervision of portfolio models and trading activities * Portfolio Oversight: Develop a "Tier III" review process for monitoring the central Portfolio Management (PM) team, focusing on mandate adherence and risk concentration. * Contractual Compliance: Lead the creation of the Discretionary Managed Account Agreement and Investment Policy Statement (IPS) templates. * Technology Implementation: Act as the primary compliance stakeholder for the selection and implementation of portfolio management system software * Liaison: Act as the primary contact with internal stakeholders and internal/external partners to build the compliance framework to support the introduction and ongoing supervision of discretionary products and services. * Strategic Compliance Projects * Regulatory risk advisor - provide regulatory guidance to decision makers within ATB Securities, Wealth Advisory and other partners * Internal/External partnerships - building partnerships to support firm wide initiatives, bringing in external partners and expertise where required * Compliance Policy - oversight on compliance policy manuals * Training initiatives - supporting training initiatives to support compliance policy, advisor onboarding or other initiatives/project training support required * Regulatory change tracking & review -Assist the CCO and senior management by maintaining visibility into evolving regulations and assessing their organizational impact. * Change Leadership: Manage end-to-end support for compliance-related transformations, ensuring all policies, job aids, regulatory brochures, and associated documentation are updated and maintained. * Leadership * Steer vision, prioritize efforts and ability to demonstrate influence beyond own team * Coordination with partners across ATB, including executives * Ability to demonstrate and build high performing, motivated teams * Models leadership behaviour by examples, investing in the career development of the people they lead * Leverages data to innovate processes and support efficiencies * Ability to work through complex problems, deliver integrated solutions * Project management skills, tackling complex issues * Focuses on high value efforts, identifies and resolves issues thoroughly * Actively seek advice from peers and other senior leaders * Strong interpersonal skills with proven record of successful management ## Skills, experience & requirements * Experience: Minimum 7-10 years in a senior compliance or portfolio operations role at a Canadian Investment Dealer and people leadership experience of 5+ years. * Credential: Preferred CFA Charter or CIM Designation is required (to satisfy the technical requirements for discretionary oversight). In addition, completion of the mandated Supervisor Exam and CIRO conduct training (post registration approval). * Must demonstrate the ability to identify conflicts of interest in portfolio model rebalancing, oversee fair allocation procedures & adherence to the client Investment Policy Statement (IPS). * Registration Status: Must be eligible for approval as a Supervisor of Managed Accounts under the CIRO IDPC Rule 2600 Series. 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.