Regulatory Analyst, Market Oversight

Alberta Securities Commission

. Conduct oversight and compliance activities for SROs, securities exchanges and other marketplaces regulated in Alberta .

Posted 11/10/2026full-timeCalgary • CanadaMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting oversight and compliance activities within Alberta's capital markets, including risk assessments, audits, and examinations. Proficient in analyzing regulatory frameworks and providing guidance to regulatory analysts while effectively communicating findings to executive management.

Highest-signal resume keywords

Oversight And Compliance ActivitiesRisk AssessmentGAAP KnowledgeIFRS KnowledgeStrong Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

AuditsExaminationsBusiness Process ReviewsInternal Controls TestingIT General Controls

Soft Skills

Attention To DetailCritical ThinkingCreative ThinkingInterpersonal SkillsTeam Collaboration

Industry Keywords

Alberta Capital MarketsRegulationComplianceMarketplace OperationsSROsSecurities Exchanges

About the role

Key responsibilities & impact

Conduct oversight and compliance activities for SROs, securities exchanges and other marketplaces regulated in Alberta
Perform oversight reviews, including annual risk assessments, planning and executing on-site examinations, reviewing findings with senior management, and preparing and presenting reports to ASC executive management
Assess existing and emerging capital-market risks and develop oversight programs to mitigate them
Analyze and make recommendations on proposed SRO, exchange and marketplace rule and policy amendments
Draft reports, including briefing memoranda for ASC executive management
Report oversight-activity results to ASC executive management
Represent the ASC on CSA committees and advance its oversight views and objectives
Participate in short- and long-term projects supporting divisional, operational and strategic initiatives
Provide examination guidance to other Regulatory Analysts

Requirements

What you’ll need

Five to ten years of experience in roles of increasing responsibility conducting audits and examinations, preferably in public practice
A university degree in business, finance, economics or a related discipline
Exceptional research and analytical skills, attention to detail, and critical and creative thinking
Ability to thrive in collaborative and team-oriented environments
Strong communication and presentation skills, verbally and in writing
Strong interpersonal skills and ability to interact with personnel at various organizational levels
Ability to meet tight deadlines and manage multiple priorities in a changing environment
Ability to provide examination guidance to other Regulatory Analysts
Working knowledge of current GAAP, IFRS, and auditing standards
Experience with business process reviews, internal controls testing and IT general controls would be an asset
Working knowledge of Alberta’s capital markets, with exposure to regulation, compliance, and marketplace and exchange operations would be an asset

Benefits

Comp & perks

Hybrid work environment and flexibility
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
ASC Social Club initiatives
Annual United Way Campaign