Regulatory Filings Analyst (2-year term position)

Alberta Securities Commission

2d•Hybrid

About The Position

The Alberta Securities Commission (ASC) is seeking a Regulatory Filings Analyst for a two-year term position. This role, reporting to the Manager, Reporting Issuer & Insider Compliance, involves responding to inquiries about regulatory filing requirements, monitoring compliance, and resolving deficiencies for Alberta's reporting issuers and their insiders. The position offers hands-on experience with issuer and insider filings, reviewing disclosure documents, preparing orders, and contributing to internal reporting. It's an excellent opportunity to develop transferable skills in finance, investment, regulatory, compliance, and business services within a supportive environment.

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 and a strong focus on 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 capabilities.

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 via phone and email.
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, such as 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.