• Position: Regulatory Analyst, SRO
  • Job/Opportunity Number:
  • Unit/Department: Market Regulation
  • Organization: Alberta Securities Commission
  • Website: www.asc.ca
  • Location: Calgary
  • Term: Permanent; full-time
  • Posting Date:
    June 20, 2021
  • Deadline to Apply: July 1, 2021
  • Compensation:
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    The Alberta Securities Commission is the industry-funded regulator responsible for administering the province’s securities laws. It is entrusted with fostering a fair and efficient capital market in Alberta and with protecting investors. As a member of the Canadian Securities Administrators (CSA), the ASC works to improve, coordinate and harmonize the regulation of Canada’s capital markets.

    The Market Regulation division oversees the equities and derivatives marketplaces, registrants (dealers, advisers, and investment fund managers), and industry self-regulatory organizations (SROs). With a dynamic team of investment and financial professionals, we are involved in leading-edge projects aimed at balancing effective regulation with our stakeholders’ need for innovation and efficient capital markets.

    To learn about licensing, professional regulation, and the consumer protection mandate of Canadian regulatory bodies, visit the Canadian Regulatory Guide.

    The opportunity

    We are looking to add to our team an industry professional who wants to make a lasting impact on Alberta’s capital market by proactively identifying and analyzing risks and developing regulatory solutions to address them. This individual will form part of a team of market oversight professionals who oversee entities subject to regulation in Alberta, work closely with other regulators across Canada, and communicate ideas and recommendations directly to ASC executive management.

    Key responsibilities include
    • Conducting oversight activities for recognized self-regulatory organizations (IIROC, MFDA) and approved contingency funds (CIPF, MFDA IPC) in Alberta.
    • Participating in the oversight program for self-regulatory organizations and contingency funds to ensure compliance.
    • Coordinating, organizing and chairing quarterly and ad-hoc regulatory meetings with self-regulatory organizations’ senior and regional management and ASC management.
    • Analyzing, and making recommendations on proposed rule and policy amendments received from self-regulatory organizations.
    • Summarizing research, analysis and conclusions in respect of proposed self-regulatory organizations rule amendments and presenting recommendations to ASC executive management.
    • Assisting in carrying out oversight activities related to the TSX Venture Exchange (TSXV), including reviewing filings received, conducting risk assessments and oversight reviews, and coordinating with other regulatory bodies as required.
    • Reporting on the results of oversight activities to ASC executive management.
    • Representing the ASC on CSA committees, advancing its views and objectives on oversight matters related to self-regulatory organizations.
    • Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.
    The ideal candidate will possess
    • A university degree in business, finance, economics or a related discipline and a CPA, CA or CPA designation.
    • Experience working at a public accounting firm conducting audits and examinations.
    • Experience in a regulatory and/or compliance environment.
    • Exceptional research and analytical skills, incorporating attention to detail and the ability to think critically and creatively.
    • Strong communication and presentation skills, with the ability to tailor messages to their audiences both verbally and in writing.
    • Strong interpersonal skills with the ability to interact with personnel at various levels of an organization.
    • The proven ability to meet tight deadlines and manage multiple priorities in a changing environment.
    • Proficiency with IIROC, MFDA rules and policies, NI 31-103 Registration Requirements, Exemptions and
    • Ongoing Registrant Obligation rules for dealing, trading and advising in securities would be an asset.
    • A working knowledge of Canadian GAAP, IFRS and Canadian Auditing Standards preferred.
    To apply

    Click the Apply For This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at the ASC including our comprehensive Total Rewards package can be found on our website at www.albertasecurities.com.

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