Regulatory Compliance Analysts
Regulatory Compliance Analysts
(Competition #2023.27 )
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 financial marketplaces, registrants (investment 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.
We are looking to add to our team senior accountants with an assurance background 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. These individuals will form part of a team of like-minded professionals who enjoy using their audit, risk management, and compliance background in a broader sense to 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:
- Performing risk-based oversight reviews of regulated organizations, including: conducting annual risk assessments; planning and executing examinations (on-site and virtual); reviewing subsequent findings with the organizations’ senior management; and preparing reports and presenting findings to ASC executive management.
- Conducting oversight and compliance activities for stock exchanges, self-regulatory organizations (SROs), clearing agencies, commodity brokers and other financial marketplaces subject to regulation in Alberta.
- Assessing the impact of existing and emerging risks in the capital market on regulated stock exchanges and other marketplaces and developing oversight programs to mitigate those risks.
- Analyzing and making recommendations on proposed amendments to securities rules and policies.
- Reporting and presenting the results of oversight activities to ASC executive management.
- Representing the ASC on CSA committees, advancing its views and objectives on oversight matters in respect of regulated organizations.
- Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.
The ideal candidates will possess:
- A minimum of three years of experience as a senior accountant (or similar role) with increasing responsibility conducting audits and examinations, preferably in a public accounting firm.
- A university degree in business, finance, economics or a related discipline.
- A CPA designation. CISA, CIA, CRMA or other relevant qualifications and designations would also be considered.
- 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.
- An interest in learning and gaining a deep understanding of Alberta’s capital markets, including Alberta and North American power, gas and/or crude markets.
- A working knowledge of Alberta’s capital markets with exposure to regulation, compliance and marketplace and exchange operations would be an asset.
- Experience with business process reviews, internal controls testing and IT general controls would be beneficial.
Why choose the ASC?
We take pride in our ability to provide a work-life balance for our employees which has earned us recognition as one of Alberta’s Top employers (2022).
Visit our website to submit your resume, cover letter and salary expectations by July 6, 2022. More information about working at the ASC including our comprehensive Total Rewards package can be found on our website at www.albertasecurities.com.