OverviewAlberta Securities Commission Regulatory Analyst, SRO (1 Year Maternity Leave) Temporary in Calgary, AB
Alberta Securities Commission
Branch Calgary AB CA
Regulatory Analyst, SRO (1 Year Maternity Leave)
This individual will communicate directly with executive management (both internal and external),. Participating in various short and long term projects in…
The Alberta Securities Commission (ASC) is currently seeking a skilled professional to join our team as:
Regulatory Analyst, SRO Oversight
(1 year maternity leave contract) (Competition #2014.48-EX)
The ASC is an independent industry-funded organization and the securities regulatory authority in the province. The Alberta’s Securities Act sets the standards for the behaviour of participants in the Alberta capital market.
The Market Regulation division oversees the equities and derivatives marketplaces, registrants (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 an industry professional who wants to make a lasting impact on Alberta’s capital market by proactively identifying emerging risks caused by changes in the capital markets and developing solutions to mitigate those risks. This individual will communicate directly with executive management (both internal and external), present ideas and recommendations to the Commission Members (the ASC’s board of directors) and work closely with other regulators across Canada as part of the Canadian Securities Administrators (CSA).
Key responsibilities include:
Interacting with and providing effective oversight of recognized self-regulatory organizations (SROs), specifically the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA) as well as investor protection funds including Canadian Investor Protection Fund (CIPF) and the MFDA Investor Protection Fund (MFDA IPC);
Representing the ASC and advancing ASC views and objectives on CSA committees; Participating in policy initiatives that impact Alberta’s capital market by performing reviews and making
recommendations on proposed policy amendments;
Participating in various short and long term projects in support of divisional, operational and strategic initiatives.
4-8 years of experience in roles of increasing responsibility in a regulatory and/or compliance environment; experience conducting audits and examinations is an asset;
A university degree in business, economics, finance or a related discipline; a financial designation is preferred An understanding of IIROC dealer member and universal market integrity rules is an asset; Exceptional research and analytical skills and the ability to think critically and creatively; Strong interpersonal and communication skills (both verbal and written); Proven ability to meet tight deadlines and manage multiple priorities in a changing environment.
** Please note this is a temporary position for approximately 12 months**
Please send your resume, cover letter (indicate specific competition #), and salary expectations by April 5, 2015 to:
Alberta Securities Commission Attention: Human Resources
Suite 600, 250 – 5th Street S.W. Calgary, Alberta T2P 0R4 [email protected] www.albertasecurities.com
THE ALBERTA SECURITIES COMMISSION IS THE REGULATORY AGENCY RESPONSIBLE FOR ADMINISTERING THE PROVINCE’S SECURITIES LAWS TO FOSTER A FAIR AND EFFICIENT CAPITAL MARKET IN ALBERTA AND TO PROTECT INVESTORS.
Employment Type: Temporary
Location: Calgary, AB, CA
Posted on: 2015-03-21