Senior Securities Investigator

Job Responsibility: 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 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. The Investigations 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 opportunity:

Reporting to the Manager, Investigations, the Senior Securities Investigator will be responsible for conducting detailed investigations of complex matters, both individually and as part of a multi-disciplinary team, into breaches of securities legislation.

Key responsibilities include:

• Investigating and managing multiple diverse and complex investigations with respect to breaches of securities legislation from the initial complaint through conclusion of the investigation.
• Where required, leading an Enforcement Case Team to complete investigations in a timely and efficient manner. This will involve planning and coordinating investigative activities, assigning tasks, and ensuring the team adheres to established procedures and legal requirements.
• Supporting and mentoring other members of the team.
• Responsible for analyzing findings, compiling investigative reports and presenting the results to the team.
• Utilizing critical and strategic thinking skills to determine investigative steps, analyze information and provide verbal and/or written updates and recommendations.
• Preparing for and conducting witness and respondent examinations. Preparing summonses, notices compelling production and production orders to collect evidence and relevant financial information and business records for analysis.
• Preparing comprehensive investigation reports, recommending courses of action, working closely with litigation counsel in preparing for the prosecution of cases at hearings, and testifying at hearings before ASC panels or in provincial court.
• Cooperating and consulting with police agencies, stock exchanges, self-regulatory organizations, securities regulators (nationally and internationally), reporting issuers, and other entities.
• Occasionally travelling within Alberta and elsewhere to conduct interviews and obtain evidence

The ideal candidate will possess:

• A post-secondary degree in a related field (e.g., Criminal Justice, Business, Finance, Economics, Criminology, Law) or equivalent.
• A minimum three years' experience in securities, corporate or commercial law.
• Greater than 10 years' experience in leading investigations (e.g. law enforcement, commercial crime, compliance, regulatory, banking or equivalent), conducting voluntary Charter caution interviews and examinations and giving evidence during court proceedings.
• Experience working in a team environment where professionalism, confidentiality, problem solving, critical thinking skills and flexibility are required.
• The ability to be agile, creative and solve problems in a fast-paced, dynamic work environment.
• Strong communication skills, including extensive report-writing, are essential.
• The ability to learn and use advanced technology and data analytic tools.
• Proven experience with investigative and/or compliance activities such as conducting investigations, interviewing, researching, gathering and handling evidence, documentation of findings and providing recommendations is highly preferred
• Understanding and training in crypto currency tracing e.g. Chainanalysis is an asset.
• Completion of the Canadian Securities Course and Conduct of Practices Handbook are assets.
• Prior regulatory experience is an asset.
• Alternatively, applicants without investigative experience who have eight or more years in the securities industry with a solid knowledge of capital markets, securities law, real estate, trading systems or current trading practices who possess other relevant professional credentials (i.e. CFE, CPA, CFA, LLB etc.) will also be considered. NOTE: The successful candidate will be required to undergo an Enhanced Security Screening prior to commencement of position.

To apply: Click the Apply For This Job Online button to submit your resume, cover letter and salary expectations by July 8, 2024. This position will work out of the ASC office located in Calgary, Alberta. 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 We offer a hybrid work environment and flexibility, a competitive total rewards package consisting of 100 per cent employer-paid benefits, comprehensive health and dental, employee life insurance, short-term and long-term disability; retirement benefits; travel insurance; paid vacation time, flex and sick days; an employee family assistance program; transportation allowance, generous flexible spending account and professional development through subsidized courses, conference, workshops, seminars and in-house training. We also encourage fun and giving back to the community with initiatives offered through our ASC Social Club and annual United Way Campaign. The ASC is an equal opportunity employer and encourages applications from all qualified individuals. We celebrate diversity and are committed to providing an inclusive work environment where every employee feels valued and respected.