Investment Fund Analyst

Alberta Securities Commission•Calgary, AB

22h•Hybrid

About The Position

The 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 Corporate Finance division is the primary interface for issuers, and their advisors, who participate in Alberta’s capital market. It is responsible for reviewing prospectuses and offering documents, monitoring continuous disclosure by issuers, assessing exempt market financing, analyzing filings in respect to takeover bids and making recommendations on applications for exemptive relief from securities legislation. In addition to these day-to-day services, Corporate Finance is active in the formulation and development of appropriate rules, regulatory instruments, policies, blanket orders and legislative amendments in the regulation of Alberta’s and Canada’s capital markets for issuers, including investment funds and over-the-counter derivatives. The Investment Fund Analyst is responsible for reviewing simplified prospectus and continuous disclosure filings for investment funds, including mutual funds and ETFs, regulated in Alberta. This role is ideal for individuals with capital markets or financial reporting experience who are interested in applying their technical skills in a regulatory environment while developing expertise in investment fund regulation, regulatory judgment, stakeholder engagement, and participating in national policy initiatives.

Requirements

A university degree in business, accounting, finance, economics, or a related discipline, with a minimum of 4 years of analyst experience in areas such as compliance, accounting, or financial analysis.
Proficiency in financial reporting and analysis.
A proven ability to work both independently and as part of a team.
Analytical mindset with the ability to apply professional judgment and interpret complex regulatory documents and financial data.
Superior attention to detail to ensure accuracy and compliance.
Strong written and verbal communication skills and able to present informed analysis and recommendations.
Ability to manage competing priorities and tight timelines.
Willingness to learn and develop specialized expertise in investment fund regulation.

Responsibilities

Review and assess investment fund disclosure documents including financial statements, simplified prospectuses, fund facts, management reports of fund performance, and other ongoing disclosure filings for compliance with securities legislation.
Identify potential issues and collaborate with internal stakeholders on more complex accounting or disclosure matters.
Monitor investment fund filings and deadlines and develop expertise in investment fund regulation and regulatory developments.
Participate in national committees and working groups, including CSA Investment Funds Committee meetings, contributing to regulatory and policy initiatives.
Conduct initial administrative and technical reviews of Alberta principal regulator. prospectus filings, ensuring it meets documentation requirements.
Engage directly with issuers and their legal counsel to identify and resolve disclosure, compliance, filing issues, and issuing comment letters.
Prepare and process preliminary and final prospectus receipts using approved templates.
Review related exemptive relief applications and provide input and recommendations to ASC legal counsel and escalating complex issues as appropriate.
Assess disclosures related to complaints and provide recommendations.
Monitor prospectus filings deadlines, update internal systems to ensure accurate records and timely compliance and verify submission of documentation and fees.
Provide guidance on prospectus filing processes and SEDAR+ requirements to issuers, legal counsel, and internal stakeholders.
Prepare monthly and quarterly reports related to prospectus filings and regulatory activity.