MD ATBIM Governance and Sr Regulatory Counsel
About the role
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 As the next Managing Director, ATB Investment Management Governance and Sr. Regulatory Counsel , you will apply both your expertise and your experience working within, acting as outside counsel for, or regulating portfolio managers and/or investment fund managers to help the business manage key ongoing legal, regulatory and governance related initiatives. In this role, you will work hand in hand with senior leaders in the business, the CCO and compliance team, as well as ATB’s Legal Services group to offer strategic and practical legal and regulatory counsel on a broad spectrum of issues relevant to the growth and management of ATB Investment Management (ATBIM).
Additionally you will be responsible for managing interactions with external counsel, regulators, and governance bodies like ATBIM's Independent Review Committee (IRC).
Accountabilities
More specific, as a key member of the team, you will support the business by:
- Advising on the development, structuring and offering of investment funds (traditional, alternative and ETFs) and drafting / updating documentation relating to.
- Proactively interpreting legislation which impacts the business, and incorporating changes, practices and documentation.
- Researching legal and securities regulatory issues and developments, often of substantial complexity, and both informing and providing guidance to the business on the implications.
- Identifying and resolving legal and regulatory issues, risks and concerns, and providing recommended course of action.
- Drafting, reviewing and negotiating legal agreements, developing and filing (where required) various forms and disclosure documents for all elements of the business, including investment funds, portfolio management and investment counseling.
- Identifying and assessing legal risks and developing strategies to mitigate risk and protect ATBIM’s interests.
- Partnering with compliance and risk teams on development and review of key policies governing the business.
- Leading the engagement with and organization of the Independent Review Committee and its activities, and providing for the support that it requires in discharging its duties.
- Providing legal research, analysis and advice on business activities.
- Instructing and directing the activity of external counsel.
- Developing and maintaining strong working relationships with the Legal Services team and other key internal business units and partners.
- Undertake day-to-day activities in a manner consistent with ATB and ATBIM's risk culture and the relevant risk appetite statement and limits.
- Other duties in support of the broader ATB Wealth business as may be required from time to time.
Skills, Experience & Requirements
- Ideally 7+ years (minimum 5) of experience in a relevant law firm, regulator and/or in-house position practicing securities law, with experience advising on fund offerings and investment management activities.
- Experience providing legal support to asset management firms, pension funds or other buy side participants would be an asset.
- Graduated from a nationally recognized law school and have membership in good standing with your relevant law society
- You are a critical thinker with excellent judgment who also has strong interpersonal skills and the ability to work collaboratively and effectively with multiple partners and stakeholders.
- You have superior communication skills, including the ability to communicate effectively with senior members of ATB Investment Management, ATB Wealth, Legal Services and other areas of ATB Financial
- You can manage multiple deadlines and priorities without sacrificing focus and attention to detail and work independently to provide legal support on major projects in a fast-paced environment.
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.
About ATB Financial
For more than 85 years, ATB has been reimagining the way we do business. We’ve grown from one small treasury branch into Alberta’s largest provincially based financial institution, and we don’t have any plans to slow down now. We power possibility for our clients, our team members and our province—and we’re leading the way to a sustainable, innovative and prosperous future.
About ATB Financial
With $62.0 billion in assets, ATB Financial is a leading financial institution that started in Alberta with the focus of putting people first. Our success comes from our more than 5,000 team members who love to deliver exceptional experiences to over 820,000 clients across our Personal and Business Banking, ATB Wealth Management and ATB Capital Markets businesses. ATB provides expert advice, services and products through our many branches and agencies, our 24-hour Client Care Centre, four entrepreneur centres and our digital banking options. ATB powers possibilities for our clients, communities and beyond.
MD ATBIM Governance and Sr Regulatory Counsel
About the role
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 As the next Managing Director, ATB Investment Management Governance and Sr. Regulatory Counsel , you will apply both your expertise and your experience working within, acting as outside counsel for, or regulating portfolio managers and/or investment fund managers to help the business manage key ongoing legal, regulatory and governance related initiatives. In this role, you will work hand in hand with senior leaders in the business, the CCO and compliance team, as well as ATB’s Legal Services group to offer strategic and practical legal and regulatory counsel on a broad spectrum of issues relevant to the growth and management of ATB Investment Management (ATBIM).
Additionally you will be responsible for managing interactions with external counsel, regulators, and governance bodies like ATBIM's Independent Review Committee (IRC).
Accountabilities
More specific, as a key member of the team, you will support the business by:
- Advising on the development, structuring and offering of investment funds (traditional, alternative and ETFs) and drafting / updating documentation relating to.
- Proactively interpreting legislation which impacts the business, and incorporating changes, practices and documentation.
- Researching legal and securities regulatory issues and developments, often of substantial complexity, and both informing and providing guidance to the business on the implications.
- Identifying and resolving legal and regulatory issues, risks and concerns, and providing recommended course of action.
- Drafting, reviewing and negotiating legal agreements, developing and filing (where required) various forms and disclosure documents for all elements of the business, including investment funds, portfolio management and investment counseling.
- Identifying and assessing legal risks and developing strategies to mitigate risk and protect ATBIM’s interests.
- Partnering with compliance and risk teams on development and review of key policies governing the business.
- Leading the engagement with and organization of the Independent Review Committee and its activities, and providing for the support that it requires in discharging its duties.
- Providing legal research, analysis and advice on business activities.
- Instructing and directing the activity of external counsel.
- Developing and maintaining strong working relationships with the Legal Services team and other key internal business units and partners.
- Undertake day-to-day activities in a manner consistent with ATB and ATBIM's risk culture and the relevant risk appetite statement and limits.
- Other duties in support of the broader ATB Wealth business as may be required from time to time.
Skills, Experience & Requirements
- Ideally 7+ years (minimum 5) of experience in a relevant law firm, regulator and/or in-house position practicing securities law, with experience advising on fund offerings and investment management activities.
- Experience providing legal support to asset management firms, pension funds or other buy side participants would be an asset.
- Graduated from a nationally recognized law school and have membership in good standing with your relevant law society
- You are a critical thinker with excellent judgment who also has strong interpersonal skills and the ability to work collaboratively and effectively with multiple partners and stakeholders.
- You have superior communication skills, including the ability to communicate effectively with senior members of ATB Investment Management, ATB Wealth, Legal Services and other areas of ATB Financial
- You can manage multiple deadlines and priorities without sacrificing focus and attention to detail and work independently to provide legal support on major projects in a fast-paced environment.
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.
About ATB Financial
For more than 85 years, ATB has been reimagining the way we do business. We’ve grown from one small treasury branch into Alberta’s largest provincially based financial institution, and we don’t have any plans to slow down now. We power possibility for our clients, our team members and our province—and we’re leading the way to a sustainable, innovative and prosperous future.
About ATB Financial
With $62.0 billion in assets, ATB Financial is a leading financial institution that started in Alberta with the focus of putting people first. Our success comes from our more than 5,000 team members who love to deliver exceptional experiences to over 820,000 clients across our Personal and Business Banking, ATB Wealth Management and ATB Capital Markets businesses. ATB provides expert advice, services and products through our many branches and agencies, our 24-hour Client Care Centre, four entrepreneur centres and our digital banking options. ATB powers possibilities for our clients, communities and beyond.