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Manager, Compliance Assurance

ATB Financial

This is a Contract position in Hamilton, ON posted September 21, 2022.

Our bottom line is different.

There’s something special about working at ATB, and it’s been recognized on every top employer list that matters.

Maybe it’s our exceptional culture where your total wellness is supported through market-leading benefits and you’re free to bring your whole self to work.

Maybe it’s our commitment to a growth mindset and our unrelenting thirst for making it possible for fellow Albertans—even the ones who aren’t our clients.

Whatever it is, you won’t find a more genuine, driven and knowledgeable group of humans anywhere.

We foster a culture of purpose, performance and possibilities.

We engage with intense curiosity, and bring our whole selves to work, every day.

We know it starts with people like you, so take a chance and start with us.

Department: Fraud, Risk and Compliance System Title: Compliance Manager 7 Job Number: REQ4762 Location: Edmonton/Calgary Apply by: 25 September Paygrade: L-OTH As ATB’s next Manager, Compliance Assurance , will work closely with process owners to support the validation and testing of compliance controls, and evaluate any exceptions to support ATB’s execution of its Compliance Programs.

A strong cross-functional partnership with team members in completing risk assessments and the identification/documentation of key control activities for regulatory compliance processes is critical to the success of this role.

This will also include participating as a key stakeholder in GRC (Governance, Risk & Compliance) implementation and application at ATB Financial.

Accountabilities Directly reporting to Senior Manager, Compliance Assurance to design and implement a sustainable regulatory monitoring & testing program Facilitate interviews with business units to understand and document key risks and controls.

Test/Audit and assist management in assessing and testing the effectiveness of regulatory compliance controls.

Document and present test/audit results and findings to senior management for review.

Key participant in the ongoing regulatory risk assessment process for ATB Financial.

Key stakeholder in GRC (Governance, Risk, & Compliance) implementation and application.

Key process owner and administrator of tools relevant to Securities Trading Pre-Clearance Maintain internal policies and procedures of Privacy, Regulatory Compliance, and Assurance programs.

Preparation of key Regulatory Compliance reporting to senior management and regulators.

Work with the process owners to identify appropriate mitigation strategies to resolve regulatory compliance deficiencies.

Ensure findings have been adequately resolved and recommendations implemented.

Training on best practice testing methodology for Regulatory, Privacy, and AML Compliance.

Proactively mentor and encourage growth in team members.

Experience with Audit, Public Accounting and/or Consulting firm is an asset.

Over 4 years experience working in an internal controls or internal audit environment; Proficiency with controls audit testing, risk and process assessment to achieve regulatory objectives.

Polished written and verbal communication skills; Demonstrated ability to collaborate, influence, and motivate team members at all levels.

High degree of initiative and demonstrated ability to meet deadlines independently and in a dynamic environment.

Exemplifies customer focused, team driven mentality; serves as a role model for colleagues.

Strong ability to prioritize activities and excellent time management and organizational skills.

Quality control mindset and attention to detail, balanced by an intuitive determination of practicalities and application of reasonableness.

Strong analytical and interpretive skills to recognize and comprehend complex issues, policies, regulatory requirements and industry information affecting ATB’s environment.

Bachelor’s degree in Commerce, Business, or equivalent.

CPA, CIA, CGA, CMA, CA, or MBA preferred.

At ATB, we know that as you develop in your career, you gain many transferable skills.

If you believe your experience and qualities are what we are looking for, please consider applying.


If you know one of our team members, reach out to them BEFORE applying and ask them for a referral link to help your application stand out.

Online applications are preferred.

Please reach out if you require any accommodations.

Be great.

Be you.


We are dedicated to building a workforce reflective of the diversity within our communities and creating an environment where every team member has what they need to reach their potential.

We encourage candidates from all equity-seeking groups to apply.

What happens next ?

Thank you for applying online.

If you are shortlisted for this opportunity, you will hear from us after the posting close date regarding next steps.

We might ask you to participate in a digital interview or phone interview.

If you require any accommodations, please let us know.

Stay in touch ATB is excited to know you’re interested in a career with us Follow us on LinkedIn , Facebook and Instagram to get the inside scoop on what our team is up to.