Regulatory Filings Analyst

Alberta Securities Commission; Calgary; On-site; CAD 70,000 - 90,000; Full time

Benefits offered by this job

Hybrid work environment

Employer-paid benefits

Health and dental benefits

Life insurance

Disability benefits

Retirement benefits

Travel insurance

Paid vacation time

Flexible and sick days

Employee family assistance program

Transportation allowance

Flexible spending account

Professional development support

Job summary

The Alberta Securities Commission (ASC) is seeking a Regulatory Filings Analyst to respond to inquiries about regulatory filing requirements, monitor compliance, and resolve deficiencies for Alberta’s reporting issuers and insiders.

Reporting to the Manager, Reporting Issuer & Insider Compliance, you will manage filing calendars, review transactions, and assist with monthly/quarterly reporting, with a hybrid work arrangement in Calgary.

Qualifications

• University degree in finance, commerce, or a business-related field (or equivalent education/experience).
• Minimum of three years in compliance or financial industry roles with analytical/problem-solving focus.
• Proven ability to manage high volume of work with fixed deadlines.
• Strong customer service, verbal and written communication skills.
• Experience with SEDI/SEDAR+ or Canadian securities filing requirements is ideal.
• Experience with data tools like Power BI or Tableau is an asset.

Responsibilities

• Serve as first point of contact for inquiries about SEDI and SEDAR+ filing requirements.
• Create and maintain Alberta’s reporting issuer records and filing due dates in ASC’s database.
• Review business transactions and filings to determine future filing requirements.
• Maintain and generate daily reporting issuers list.
• Review SEDI insider reports for compliance with insider reporting.
• Prepare cease trade orders revocation materials and liaise with other commissions.
• Assist with monthly and quarterly internal reporting.

Education

University degree in finance, commerce, or business-related field

Tools

SEDI

SEDAR+

MS Office

Excel

Power BI

Tableau

S&P Capital IQ

Job description

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 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.

Key responsibilities include

• 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.

The ideal candidate will possess

• 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.
• 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.

This position will work out of the ASC office located in Calgary, Alberta.

More information about working at the ASC including our comprehensive Total Rewards package can be found on our website atwww.asc.ca.

• 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
• 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.

The ASC is an equal opportunity employer and encourages applications from all qualified individuals.

We celebrate diversity and are committed to providing an inclusive work environment where every employee feels valued and respected.