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Alberta Securities Commission

Regulatory Analyst, Market Oversight



Company Information

The ASC is the regulatory agency responsible for administering the province's securities laws. It is entrusted to foster a fair and efficient capital market in Alberta and to protect investors.

Job Description

Regulatory Analyst, Market Oversight

(Competition #2016.24)


Our organization:

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. 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.

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 emerging risks caused by changes in the capital markets and developing solutions to mitigate those risks. This individual will form part of a team that communicates directly with ASC executive management to present ideas and recommendations and will also work closely with other regulators across Canada on CSA committees.

Key responsibilities include:  

  • Conducting oversight reviews of recognized equities and derivatives exchanges, self-regulatory organizations and clearing agencies recognized and regulated in Alberta,  including performing annual risk-assessments, creating and preparing review programs, and conducting on site examinations.

  • Reporting on the results of oversight reviews, including findings, conclusions and recommendations, conducting exit interviews with senior management, preparing oversight review reports, and presenting to ASC executive management.

  • Representing the ASC and advancing its views and objectives on CSA committees which consider oversight review matters in respect of regulated entities.

  • Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.

     The ideal candidate will possess:

  • A minimum of five years of experience conducting audits and examinations, in roles of increasing responsibility.

  • A university degree in business, finance, economics or a related discipline and a CPA, CA designation.

  • 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.

  • A working knowledge of Alberta’s capital and/or derivative markets with exposure to regulation and/or compliance is an asset. 

    To apply:

Visit our website at www.albertasecurities.com to submit your resume, cover letter and salary expectations by January 18, 2017. More information about working at the ASC including our comprehensive Total Rewards package can also be found on our website.

Online applications will receive an automated confirmation.  You will be contacted if you are selected for an interview.

Contact Information

Alberta Securities CommissionGovernment/Public Administrationhttp://www.albertasecurities.com
Posting Date: 06-Jan-2017Government/Public AdministrationAccounting and Finance Permanent, Full-Time Open 1 ASAP
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