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 Investigation team is responsible for conducting complex and multifaceted investigations into breaches of Alberta securities laws which include allegations of fraud and misconduct in the securities markets.
The Enforcement Division enforces Alberta securities laws by investigating and prosecuting breaches of those laws with a view to stopping current misconduct and preventing future misconduct.
Reporting to the Team Lead, Investigations, the successful candidate will conduct multifaceted investigations involving breaches of the Alberta Securities Act, which includes allegations of fraud and misconduct in securities markets.
Key responsibilities include:
- Conducting detailed investigations arising from complaints, enquires, filings or intelligence sources, with respect to breaches of the securities legislation.
- Conducting detailed forensic accounting analysis of financial, banking and related business records, including source and use analysis.
- Planning and conducting witness and respondent examinations, using the powers of a statutorily-appointed investigator.
- Collecting evidence and relevant financial information, data and business records for analysis.
- Developing detailed investigation reports, recommending courses of action, and testifying at hearings before ASC panels or provincial court.
- Working closely with investigators, evidence analysts and litigation lawyers in preparing comprehensive briefs for the prosecution of cases at hearings or provincial court.
- Cooperating and consulting with police agencies, stock exchanges, self-regulatory organizations, securities regulators in other jurisdictions (nationally and internationally), investment dealers, reporting issuers, and related individuals.
- Travelling as required generally within Alberta, to conduct interviews and obtain evidence.
The ideal candidate will possess:
- A post-secondary degree and a Canadian Accounting Professional (CPA) designation with membership in good standing with CPA Alberta.
- A minimum of three years post-designation experience in audit, forensic accounting, bankruptcy practice or equivalent.
- The ability to provide advice in a team environment; effective time management and planning abilities.
- Self-motivation with superior analytical ability and excellent oral and written communication skills including report-writing and the ability to present findings.
- Experience in the securities industry, particularly in compliance or in a related area is an asset.
- A professional designation related to investigative and forensic accounting (IFA, CFE, CFI, CFF) or a CFA is an asset
NOTE: The successful candidate will be required to provide a Police Information Check with results satisfactory to the ASC prior to commencement of employment.
Visit our website to submit your resume, cover letter and salary expectations by October 14, 2019. 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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