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.
The Director, Regulatory Initiatives & Dealer 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.
- Strategy & Readiness +:
- Supervisory Framework: Oversee the implementation of regulatory changes and translate to firm strategy.
- CIRO Material Business Change Filings & Exemptions: Point of contact for regulatory submissions to CIRO, including exemptive relief and material business change filings
- Policy Architecture: Oversee and maintain policies and procedures, and development of new policies
- Contractual Compliance: Lead the creation of documents and templates related to regulatory changes
- Technology Implementation: Act as the primary compliance stakeholder for tech and software Implementation
- 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 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
- 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: CIRO proficiencies to be registered as a Compliance Supervisor, PM supervisory experience preferred. 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).
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.
