Junior Analyst, Registrant Oversight

2 weeks ago

Calgary, Canada Alberta Securities Commission Full time

**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 (CSA), the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

The Market Regulation division oversees registrants (dealers, advisers, and investment fund managers), industry self-regulatory organizations (SROs), and the equities and derivatives marketplaces. With a dynamic team of investment and financial professionals, the Registrant Oversight team oversees market participants, balancing effective regulation with our stakeholders’ need for efficient capital markets.

**The opportunity**:
Reporting to the Team Lead, Registrant Oversight, this position will assist the Regulatory Analysts in overseeing firms and individuals that are registered to sell, advise, or trade in securities to ensure they are following Alberta securities laws and investors are protected from unfair and abusive practices.

**Key responsibilities include**:
Assisting with conducting remote and on-site examinations of business operations of exempt market dealers, portfolio managers, and investment fund managers. This includes but is not limited to: collecting, reviewing, and testing large volumes of documentation and writing detailed reports on compliance issues.

Completing reviews of financial and other types of filings submitted by registered firms on an ongoing basis.

Assisting with administrative and general team matters by preparing business reports; and updating and reviewing files on business plan processes, projects, and initiatives.

Preparing internal memos covering various issues related to Registrant Oversight’s activities and mandate.

A recent post-secondary degree with a focus in Finance, Accounting, Business, or Economics along with co-op or internship experience in a professional office environment is highly preferred.

Demonstrated successful progress towards a financial designation program (e.g. CPA, CFA, CIM, CFE, CFP, ERP) is considered an asset.

Experience working in an environment where professionalism, confidentiality, problem-solving, critical thinking skills and flexibility are required.

Strong research, analytical, and writing skills.

Excellent attention to detail and interpersonal skills.

Strong proficiency with Microsoft Office, in particular, Excel and Word.

**To apply**:

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