Alberta Securities Commission
Alberta Securities Commission
201 – 500 Employees
ComplianceFinanceGovernment
The Alberta Securities Commission is Alberta, Canada’s provincial securities regulator, responsible for administering and enforcing securities laws across the province. Its work includes supervising registrants, exchanges, and other market participants; conducting enforcement actions and regulatory proceedings; supporting securities filings through platforms such as SEDAR+; and providing regulatory guidance, investor education, and whistleblower services. The commission operates at the intersection of government, finance, and compliance, with a mandate to protect investors and help maintain fair, transparent, and orderly capital markets.

Senior Regulatory Analyst, Registrant Oversight - Alberta Securities Commission

Lead complex compliance reviews and oversight work for registrants at Alberta’s securities regulator. Advise regulated firms, mentor analysts, and contribute to Canadian regulatory initiatives.

Description

  • Lead complex reviews and oversight activities to assess registrant compliance with securities legislation
  • Provide senior-level file reviews and guidance on complex regulatory matters
  • Mentor and train less experienced Registrant Oversight Analysts
  • Research and interpret regulatory obligations in the context of registrants’ operations
  • Prepare and present compliance reports with recommended actions, including regulatory measures where appropriate
  • Build and manage professional relationships with senior leaders of regulated entities
  • Explain compliance obligations and best practices to registered firms and individuals
  • Maintain complete review records, including documentation, communications, analysis, and conclusions
  • Monitor and assess the implementation of registered-firm action plans
  • Review other analysts’ work for quality and consistency
  • Present audit and project findings to ASC leadership, committees, and potentially the Commission
  • Support the Team Lead and management with divisional, operational, and strategic initiatives
  • Research and deliver internal memoranda on Registrant Oversight matters
  • Work collaboratively with other ASC departments
  • Engage with industry and the public through education and outreach
  • Represent the ASC at conferences and seminars
  • Take part in registrant education and outreach sessions
  • Draft and contribute to ASC and CSA notices, guidance, and communications
  • Coordinate with CSA counterparts on shared issues and solutions
  • Provide subject-matter guidance to colleagues across ASC divisions
  • Participate in and lead CSA committees and policy initiatives
  • Condense research and analysis for ASC management and executive leadership

Requirements

  • University degree in business or a financial designation such as CPA or CFA
  • At least 10 years of experience in a relevant field
  • Strong verbal and written communication, critical thinking, and analytical abilities
  • Capacity to lead and mentor more junior employees
  • Excellent judgment and decision-making ability
  • Demonstrated ability to meet tight deadlines and deliver results
  • Ability to manage multiple priorities, heavy workloads, and competing deadlines
  • Advanced understanding of securities regulations, risk identification and management, inherent business risks, and red flags
  • Working knowledge of Canadian industry trends
  • Awareness of international industry trends
  • Knowledge of Canadian securities legislation and registrant compliance oversight

Benefits

  • Benefits fully paid by the employer
  • Comprehensive health and dental coverage
  • Employee life insurance
  • Short- and long-term disability coverage
  • Retirement benefits
  • Travel insurance
  • Paid vacation
  • Flex and sick days
  • Employee and family assistance program
  • Transportation allowance
  • Generous flexible spending account
  • Subsidized professional development courses, conferences, workshops, seminars, and in-house training
  • ASC Social Club initiatives
  • Annual United Way Campaign
  • Hybrid work environment with flexibility

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