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AC
Senior Regulatory Analyst, Registrant Oversight
Posted 3 hours ago
About the role
- Senior Regulatory Analyst leading complex registrant compliance reviews for Alberta’s securities regulator. Advising firms, mentoring analysts, and supporting Canadian regulatory initiatives.
Responsibilities
- Lead complex reviews and other oversight activities to ensure registrants’ compliance with securities legislation
- Provide senior-level review on files and advise on complex issues
- Mentor and train less experienced Registrant Oversight Analysts
- Analyze, research and interpret regulatory obligations as applied to registrants’ business operations
- Prepare and present detailed compliance reports recommending courses of action, including regulatory action where appropriate
- Manage professional relationships with senior management of regulated entities
- Communicate with registered firms and individuals regarding compliance obligations and best practices
- Maintain books and records for reviews, including documentation, communications, analysis and conclusions
- Oversee and evaluate implementation of registered-firm action plans
- Conduct quality and consistency reviews of work prepared by other analysts
- Present audit and project findings to ASC leadership, committees and possibly the Commission
- Support the Team Lead and management on divisional, operational and strategic initiatives
- Research, prepare and present internal memoranda on Registrant Oversight issues
- Collaborate with other ASC departments
- Interface with industry and the public through education and outreach
- Represent the ASC at conferences and seminars
- Participate in registrant education and outreach sessions
- Draft and provide input into ASC and CSA staff notices, guidance and communications
- Liaise with CSA counterparts on common issues and solutions
- Provide subject-matter expertise to colleagues in other ASC divisions
- Participate in and lead CSA committees and policy initiatives
- Summarize research and analysis for ASC management and executive leadership
Requirements
- A university degree in a business discipline or a financial designation (CPA or CFA)
- 10+ years of work experience in a relevant field
- Strong communication (verbal and written), critical thinking and analytical skills
- Ability to lead and mentor more junior staff
- Excellent decision-making skills
- Proven history of meeting tight deadlines and driving results
- Ability to multi-task, balance a high workload, and plan for high volumes and competing deadlines
- Superior knowledge of securities regulations and risk identification and management, including inherent business risks and identifying red flags
- Working knowledge of Canadian industry trends
- Awareness of international industry trends
- Knowledge of Canadian securities legislation and registrant compliance oversight
Benefits
- 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
- Employee family assistance program
- Transportation allowance
- Generous flexible spending account
- Professional development through subsidized courses, conference, workshops, seminars and in-house training
- ASC Social Club initiatives
- Annual United Way Campaign
- Hybrid work environment and flexibility
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