Regulatory Analyst, Derivatives Oversight

Regulatory Analyst

(Competition #2022.07B)

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 the equity and derivative 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 and analyzing risks and developing regulatory solutions to address them. This individual will join a team of oversight professionals who oversee organizations involved in derivatives markets subject to regulation in Alberta, work closely with other regulators across Canada, and communicate ideas and recommendations directly to ASC executive management. This position provides a great opportunity for an individual to learn and gain a deep understanding of Alberta’s capital markets, including Alberta and North American power, gas and/or crude markets.

Key responsibilities include:

• Performing oversight reviews of regulated organizations, including: conducting annual risk assessments; planning and executing on-site examinations; reviewing subsequent findings with the organizations’ senior management; and preparing reports of, and presenting findings to, ASC executive management.
• Conducting oversight and compliance activities for organizations subject to regulation in Alberta, including derivatives exchanges and commodity brokers. 
• Assessing the impact of existing and emerging risks in the capital market on regulated exchanges and other marketplaces and developing oversight programs to mitigate those risks.
• Analyzing and making recommendations on proposed amendments to rules and policies of regulated exchanges and other marketplaces.
• Reporting and presenting the results of oversight activities to ASC executive management.
• Representing the ASC on national committees, advancing its views and objectives on oversight 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 university degree in business, finance, economics, or a related discipline and a CPA designation.
• Experience working at a public accounting firm conducting audits and examinations, or 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 and teamwork 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.
• Experience with business process reviews, internal controls testing and IT general controls would be an asset.

To apply:

Visit our website to submit your resume, cover letter and salary expectations by September 17, 2021. 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.