Regulatory Filings Analyst
Alberta Securities Commission•Calgary, AB
•Hybrid
About The Position
The Alberta Securities Commission (ASC) is seeking a Regulatory Filings Analyst to join the Corporate Finance division. This role involves responding to inquiries regarding regulatory filing requirements, monitoring compliance, and resolving deficiencies for Alberta's reporting issuers and their insiders. The ASC is dedicated to fostering a fair and efficient capital market and protecting investors, working in collaboration with the Canadian Securities Administrators (CSA).
Requirements
- A university degree in finance, commerce, or a business-related field of study (or equivalent education and experience).
- A minimum of three years of experience in compliance or financial industry roles with increasing responsibility.
- Strong analytical and problem-solving skills.
- Proven ability to manage a high volume of work with fixed deadlines.
- Ability to work both independently and as part of a team.
- Strong customer service skills, including effective verbal (e.g., phone/virtual) and written communication.
- Excellent computer skills in MS Office, including intermediate to advanced Excel skills with data manipulation.
Nice To Haves
- Experience in the securities industry.
- Experience with SEDI and SEDAR+ systems.
- Experience with filing requirements relating to Canadian securities law.
- Proficiency in S&P Capital IQ.
- Familiarity with market data.
- Experience working with data and tools such as Power BI or Tableau.
Responsibilities
- Act as the first point of contact for internal and external inquiries regarding SEDI and SEDAR+ regulatory filing requirements.
- Create and maintain Alberta's reporting issuer records and filing due dates in the ASC's internal database.
- Review and assess business transactions and combinations in certain regulatory filings, including reverse takeovers, to determine future filing requirements.
- Maintain and generate the daily reporting issuers list.
- Review SEDI insider reports for compliance with insider reporting requirements.
- Prepare cease trade orders revocation orders, and associated materials, and correspond with other commissions regarding cease trade orders.
- Review applications for management cease trade orders and prepare management cease trade orders and associated materials.
- Assist with monthly and quarterly internal reporting as required.
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, conferences, workshops, seminars and in-house training
- Initiatives offered through ASC Social Club
- Annual United Way Campaign
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
