Securities Investigator, Assessment

Alberta Securities Commission

9d • Hybrid

About The Position

Our organization 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 Enforcement division upholds Alberta’s securities laws by detecting, investigating, and prosecuting breaches of those laws. The division also focuses on deterrence, disruption and preventing misconduct in our capital markets. The opportunity Reporting to the Manager, Assessment and Evidence Management, the Securities Investigator, Assessment is the front line of the Enforcement division and the first point of contact for the investing public, law enforcement, and regulatory partners. In addition to complaint handling, Assessment is also a proactive, intelligence-driven department within Enforcement. The successful candidate will assess complex complaints, deploy disruption tools early in a matter’s lifecycle, and lay the investigative groundwork for the Investigations and Joint Serious Offences Team (JSOT) departments.

Requirements

• A university degree in a related field such as Law, Criminal Justice, Criminology, Business, Commerce, Finance, Economics, or equivalent.
• Superior written and verbal communication skills with demonstrated ability to produce concise, well-reasoned investigative reports and recommendations under tight deadlines.
• A minimum of eight years of experience conducting investigations, including interviewing, public interaction, and giving evidence in court or regulatory proceedings.
• Knowledge of the Securities Act , Alberta, investigative techniques, rules of evidence, and relevant case law (Jarvis, Jordan, Stinchcombe, etc.).
• Advanced technical skills and proficiency with investigative technology platforms including CRM, e-discovery tools, and analytical software.

Nice To Haves

• A minimum of three years of professional experience in a securities regulation, financial services, compliance, or a comparable regulatory or law enforcement environment is a strong asset.

Responsibilities

• Receiving, assessing, and responding to public complaints and referrals to identify potential breaches of the Alberta Securities Act, related rules and policies, or the Criminal Code, using critical analysis to determine next investigative steps.
• Establishing rapport with complainants and stakeholders to identify potential respondents and witnesses, determining the essential elements required to establish an offence or administrative breach, and formulating initial evidence collection strategies grounded in sound judgment and knowledge of the rules of evidence.
• Conducting investigations and interviews, querying regulatory databases, undertaking Open Source Intelligence research, collaborating closely with internal and external partners, applying for orders and summonses to obtain financial, trading, and business records, and maintaining accurate, contemporaneous notes and case files with full chain of custody documentation.
• Producing evidence-based, well-reasoned, and defensible written recommendations for management on file disposition and providing testimony in hearings or court prosecutions, as needed.
• Identifying matters requiring immediate intervention, including freeze orders, cease trade orders, or investor alerts, and swiftly coordinating with other departments, divisions, and external partners to initiate urgent and targeted action.
• Engaging and collaborating with a broad range of external partners and regulatory organizations to exchange information on matters of mutual interest, ensuring referrals are appropriate, accurate, and aligned with statutory and operational requirements.

Benefits

• We offer a hybrid work environment and flexibility, a competitive total rewards package consisting of 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 and professional development through subsidized courses, conference, workshops, seminars and in-house training.
• We also encourage fun and giving back to the community with initiatives offered through our ASC Social Club and annual United Way Campaign.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level