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Alberta Securities Commission
Alberta Securities Commission
201 – 500 Angajați
ConformitateFinanțeGuvern
Alberta Securities Commission este autoritatea provincială de reglementare a valorilor mobiliare din Alberta, Canada, responsabilă de administrarea și aplicarea legislației privind valorile mobiliare în întreaga provincie. Activitatea sa include supravegherea entităților înregistrate, a burselor și a altor participanți la piață, desfășurarea acțiunilor de aplicare a legii și a procedurilor de reglementare, sprijinirea depunerii documentelor privind valorile mobiliare prin platforme precum SEDAR+, precum și furnizarea de îndrumări de reglementare, educație pentru investitori și servicii pentru avertizori. Comisia activează la intersecția dintre administrația publică, finanțe și conformitate, având mandatul de a proteja investitorii și de a contribui la menținerea unor piețe de capital echitabile, transparente și ordonate.
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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.

CACanadaHibridNormă întreagăSeniorLimbă Obligatorie: englezăConformitate

Descriere

  • 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

Cerințe

  • 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

Beneficii

  • 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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