Securities Investigator

ASC; Calgary; Hybrid; CAD 90,000 - 130,000; Full time

Benefits offered by this job

Employer-paid health & dental benefits

Life insurance

Disability coverage

Retirement benefits

Travel insurance

Paid vacation & sick days

Employee assistance program

Job summary

The Alberta Securities Commission (ASC) is recruiting an experienced Securities Investigator to lead complex investigations into breaches of securities legislation. You will work with the Enforcement division to develop strategies, collect evidence, and present findings with potential court testimony.

The ideal candidate has extensive investigative experience, strong regulatory knowledge, and the ability to manage witness examinations and provide clear, defensible recommendations under deadlines.

Qualifications

• Superior written and verbal communication with ability to analyze multiple sources of evidence and information.
• Consider statutes and case law, think strategically and produce concise investigative reports under deadlines.
• Minimum eight years in investigations including witness interviews and partner agency relations.
• Three years in securities regulation, financial services, compliance, or related regulatory environment is a strong asset.
• Knowledge of the Securities Act, Alberta, investigative techniques and relevant case law.

Responsibilities

• Manage complex investigations from intake to strategic management of each case.
• Collaborate within Enforcement to disrupt breaches of securities legislation.
• Develop investigation plans to collect relevant evidence in a timely manner.
• Prepare for and conduct witness and respondent examinations, in person or virtual.
• Prepare summonses and production orders to obtain evidence and records.
• Provide defensible written recommendations and testify in hearings or court as needed.
• Coordinate with police, exchanges, regulators, issuers to share information.
• Identify trends in securities misconduct and devise disruption strategies.
• Travel within Alberta and elsewhere for interviews and evidence collection.

Skills

Written and verbal communication

Analytical reasoning

Investigations planning

Witness/examinations

Stakeholder collaboration

Regulatory knowledge

Interviews (in person/virtual)

Criminal/Regulatory evidence handling

Education

University degree in Law/Criminal Justice/Criminology/Business/Commerce/Finance/Economics

Tools

CRM

e-discovery tools

Analytical software

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 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 & Evidence Management, the Securities Investigator will be responsible for conducting detailed investigations of complex matters, both individually and as part of a multi-disciplinary team, into breaches of securities legislation.

Key responsibilities include

• Managing complex investigations with respect to breaches of securities legislation, from intake, triage and analysis of the initial complaint through active investigation and strategic management of each case.
• Efficient collaboration with other members of the Enforcement division to develop strategies and tactics to disrupt active breaches of securities legislation.
• Developing detailed investigation plans that outline strategies to collect relevant evidence in a timely and thoughtful manner.
• Preparing for and conducting witness and respondent examinations (in person and virtual), using the powers granted under securities legislation.
• Preparing summonses and production orders to collect evidence and relevant financial information and business records for analysis.
• Producing evidence-based, well-reasoned, and defensible written recommendations for management on file status and next steps as well as providing testimony in hearings or court prosecutions, as needed.
• Cooperating and consulting with police agencies, stock exchanges, self-regulatory organizations, securities regulators (nationally and internationally), reporting issuers, and other entities to exchange information on matters of mutual interest, ensuring referrals are appropriate, accurate, and aligned with statutory and operational requirements.
• Assessing and proactively identifying trends in securities misconduct including scams, fraudulent schemes, illegal distributions, insider trading, market abuse, and other violations of the Securities Act and Criminal Code. Identifying strategies to meet those trends and disrupt head-on.
• Deploying innovative disruption tactics to prevent and mitigate misconduct, thoughtfully considering and leveraging the diverse, multi-divisional resources available from within the ASC.
• Regularly travelling within Alberta and elsewhere, sometimes outside of regular business hours, to collaborate with other regulatory, intelligence and law enforcement partners, conduct interviews and obtain evidence in person.

The ideal candidate will possess

• 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 analyze multiple sources of evidence and information, consider all relevant statutes and case law, think strategically and produce succinct, evidence based, clear and accurate investigative reports and recommendations under tight deadlines.
• A minimum of eight years of experience conducting investigations, including interviewing witnesses and suspects in person, regular interaction with the general public and maintenance of partner agency relationship management, and preparing evidence packages and ultimately giving evidence in court or regulatory proceedings.
• 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.
• 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.

Note: The successful candidate will be required to provide a Police Information Check with results satisfactory to the ASC prior to commencement of employment.

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
• 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.