Regulatory Analyst, Market Oversight

Our organizationThe Alberta Securities Commission (ASC) 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 (CSA), the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.
The Market Regulation division oversees equities and derivatives marketplaces, registrants (dealers, advisers, and investment fund managers), market infrastructure entities 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 Market Regulation division works closely with staff from across the ASC and the CSA to coordinate a harmonious approach to capital markets, consumer protection and the regulation of new and emerging business models.
The opportunityWe 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. Reporting into the Manager, Market Oversight, this individual will join a team of market oversight professionals who enjoy using their audit, risk management, and compliance backgrounds 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
Conducting oversight and compliance activities for SROs, securities exchanges and other marketplaces subject to regulation in Alberta.
Performing oversight reviews of regulated entities, including conducting annual risk assessments;
planning and executing on-site examinations;
reviewing subsequent findings with the entities’ senior management;
and preparing reports of, and presenting findings to, ASC executive management.
Assessing the impact of existing and emerging risks in the capital markets on SROs, 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 SROs, regulated exchanges and other marketplaces.
Drafting various reports, including briefing memorandum to ASC executive management.
Reporting on 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 entities.
Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.
The ideal candidate will possess
Five to ten years of experience in roles of increasing responsibility conducting audits and examinations, preferably in public practice.
A university degree in business, finance, economics or a related discipline and ideally a CPA, CA designation.
Exceptional research and analytical skills, incorporating attention to detail and the ability to think critically and creatively.
The proven ability to thrive in collaborative and team-orientated environments.
Strong communication and presentation skills, with the ability to tailor messages to their audiences both verbally and in writing.
Strong interpersonal 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.
The ability to provide examination guidance to other Regulatory Analysts participating in the oversight reviews.
A working knowledge of current GAAP, IFRS, and auditing standards.
Experience with business process reviews, internal controls testing and IT general controls would be an asset.
A working knowledge of Alberta’s capital markets with exposure to regulation, compliance and marketplace and exchange operations would also be an asset.
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 are committed to providing an inclusive work environment where every employee feels valued and respected.
This position will work out of the ASC office located in Calgary, Alberta.
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