Regulatory Filings Analyst (2-year term position)

Alberta Securities Commission•Calgary, AB

4d•Hybrid

About The Position

The Alberta Securities Commission (ASC) is seeking a Regulatory Filings Analyst for a two-year term position within the Corporate Finance division. This role involves responding to inquiries about regulatory filing requirements, monitoring compliance, and resolving deficiencies related to Alberta’s reporting issuers and insiders. The position offers an opportunity to develop transferable skills in issuer and insider filing requirements, disclosure review, order preparation, and internal reporting. The successful candidate will enhance their analytical abilities, attention to detail, judgment, and business communication skills in a supportive environment, potentially paving the way for future opportunities in finance, investment, regulatory, compliance, business, and professional services.

Requirements

A university degree in finance, commerce, or a business-related field of study (or equivalent education and experience would be considered).
A minimum of three years experience in compliance or financial industry roles with increasing responsibility and a strong focus on analytical and problem-solving skills is preferred.
A proven ability to manage a high volume of work with fixed deadlines and an 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 including data manipulation.

Nice To Haves

Experience in the securities industry, with SEDI and SEDAR+ systems, or with filing requirements relating to Canadian securities law is ideal.
Proficiency in S&P Capital IQ and familiarity with market data is beneficial.
Experience working with data and tools such as Power BI or Tableau is an asset.

Responsibilities

Acting as the first point of contact with respect to internal and external inquiries by phone and email relating to SEDI and SEDAR+ regulatory filing requirements.
Creating and maintaining Alberta’s reporting issuer records and filing due dates in the ASC’s internal database.
Reviewing and assessing business transactions and combinations in certain regulatory filings, including reverse takeovers, to determine future filing requirements.
Maintaining and generating the daily reporting issuers list.
Reviewing SEDI insider reports for compliance with insider reporting requirements.
Preparing cease trade orders (the prohibiting of trading in securities for a particular company) revocation orders, and associated materials; and corresponding with other commissions regarding cease trade orders.
Reviewing applications for management cease trade orders and preparing management cease trade orders and associated materials.
Assisting with monthly and quarterly internal reporting as required.