Compliance Analyst

2 weeks ago

Vancouver, Canada British Columbia Securities Commission Full time

**Company Overview**:
Centrally located in downtown Vancouver, the British Columbia Securities Commission (BCSC) strives to make the investment markets benefit the public - enabling people to achieve their financial goals, enterprises to grow, and British Columbia to thrive.

Through smart rules, diligent oversight, strong enforcement and reliable guidance, we act as guardians of the province’s investment marketplace, striving to make BC a place where people can invest with confidence and companies can flourish. We are an independent agency accountable to the provincial legislature and the public through the Minister of Finance.

**Compliance Analyst**

**Dealer Compliance**

**Capital Markets Regulation**

**Role**

Become a part of the rapidly evolving Dealer Compliance team in Capital Markets Regulation (CMR). We regulate a broad range of registrant activities, including all of the firm registration categories and take compliance action where we see unregistered activity in violation of the _Securities Act_.

The Compliance Analyst position is an important role click next character s that focuses on testing compliance among registrants, with the requirements of securities legislation. The role includes dealing with market participants, their auditors and their counsel, and recommending practical outcomes that range from registration to enforcement prosecution.

**Key Responsibilities**
- monitor registrants’ financial filings and capital adequacy
- develop review programs for noncompliance by market participants in the private capital market
- write deficiency reports after completing reviews
- engage with registrants to resolve compliance deficiencies and recommending to the Director compliance action or a referral to the Enforcement division where appropriate
- connect closely with similar activity in other CSA jurisdictions
- provide ongoing statistical information about capital raising in the private capital market in BC

You will work closely with the Legal Services, Compliance and Registration teams in CMR, and with the Corporate Finance Compliance and Investment Fund teams. You will participate periodically in the CSA registrant regulation committee and make contributions to policy outcomes.

**Qualifications**
- A degree in business, finance, law or accounting.
- Several years of securities, compliance and/or investigative experience.
- Good knowledge of securities rules and regulations
- Excellent interpersonal, verbal and communication skills

**Other Assets**:

- You are preferably a CPA with a strong desire to expand the BCSC's role in the private capital market.
- A CFA designation is considered an asset.

**What we offer**:

- We offer a challenging and rewarding work environment which includes:_
- Extensive benefit package including a defined benefit pension plan, medical and dental coverage, Wellness and Health Spending Account benefits, and 4 weeks of annual vacation
- Hybrid work model
- Beautiful downtown office
- Work life balance
- Professional development opportunities
- A professional and collaborative team to work with

Please visit our Careers page to submit your cover letter and resume for this position, quoting competition 23:111 by March 8, 2023.

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