Regulatory Analyst, Registrant Oversight

Regulatory Analyst, Registrant Oversight

(Competition #2018.38)


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, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.


The Market Regulation division oversees registrants, including exempt market dealers, portfolio managers, and investment fund managers, equities and derivatives marketplaces, 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:


Reporting to the Manager of Registrant Oversight, this entry-level position will be assisting with the preparing and conducting of  compliance reviews of registrants. This role will support the team with the planning of compliance reviews, performing research on firms and overseeing the timeliness of registrant financial or compliance filings.


Key responsibilities include:


  • Reviewing, monitoring and providing feedback on financial filings by registrants, escalating complex matters to more senior analysts, and being the point of contact for late filing invoices..

  • Providing assistance to the other members relating to financial oversight, including assessing and responding to financial filing deficiencies.

  • Contributing in the provision of effective non-financial regulatory oversight of exempt market dealers, portfolio managers, and investment fund managers.

  • Participating in interactions with registrants, including in-depth interviews and face-to-face meetings, assisting with the evaluation of business operations and processes, and the assessment of compliance with regulatory obligations.

  • Aiding in the preparation of written reports recommending courses of action both for market participants and the ASC with issues arising from the financial and conduct compliance oversight reviews.

  • Assisting in presenting recommendations internally and externally for consideration.

  • Supporting other Regulatory Analysts and management with general registrant oversight matters.


The ideal candidate will possess:


  • A minimum of one to two years of securities and/or financial services industry experience.

  • An undergraduate degree in a business discipline, or equivalent.

  • A professional designation (CPA, CFA or equivalent) or working towards one.

  • Good analytical skills, good written and oral communication skills, ability to meet deadlines and work well with others on the team.

  • Working knowledge of accounting rules and the financial markets and financial instruments.

  • Proficiency in information technology systems including client relationship management or knowledge base software.


To apply:


Visit our website to submit your cover letter and resume by April 3, 2018.  More information about working at the ASC including our comprehensive Total Rewards package can be found on our website at


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