Regulatory Filings Analyst
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 reviews and monitors issuer disclosure such as offering documents and continuous disclosure, with particular experience in respect of oil and gas disclosure; makes recommendations on applications for exemptive relief from securities laws; and plays an active role in the development of appropriate local and national rules and policies relating to issuers and insiders used in the regulation of the capital markets in Alberta and Canada. The opportunity Reporting to the Manager, Reporting Issuer & Insider Compliance, the Regulatory Filings Analyst will respond to internal and external inquiries involving regulatory filing requirements, monitoring compliance and resolving identified deficiencies with respect to regulatory filing requirements of Alberta’s reporting issuers and related insiders.
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.
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
- an employee family assistance program
- transportation allowance
- generous flexible spending account
- professional development through subsidized courses, conference, workshops, seminars and in-house training
- initiatives offered through our ASC Social Club
- annual United Way Campaign
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
