Securities Investigator, Joint Serious Offence Team (JSOT)

Alberta Securities Commission; Calgary; Hybrid; CAD 80,000 - 100,000; Full time

Job summary

A leading regulatory agency in Alberta is seeking a Securities Investigator to conduct thorough financial investigations into breaches of securities law. The ideal candidate will have extensive investigative experience, strong analytical skills, and the ability to work independently. This role involves leading investigations, preparing legal documents, and collaborating with law enforcement. The position offers a hybrid work environment and a competitive benefits package, including comprehensive health coverage and professional development opportunities.

Benefits

100% employer-paid benefits

Comprehensive health and dental

Employee life insurance

Short-term and long-term disability

Retirement benefits

Paid vacation time

Professional development

Transportation allowance

Qualifications

• Minimum eight years of experience including five years in investigative roles.
• Proven experience conducting interviews and preparing legal documentation.

Responsibilities

• Lead investigations into fraud and financial crimes.
• Prepare court applications and compile case reports.
• Conduct interviews and gather evidence.

Skills

Investigation

Analytical Skills

Communication

Education

Post-secondary education in Law, Criminology, Business, Finance

Tools

Electronic case management tools

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, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

The Joint Serious Offences Team (JSOT) is responsible for conducting investigations into breaches of criminal laws and Alberta securities laws which include allegations of fraud and misconduct in the securities markets. JSOT is an enforcement partnership between the ASC and the RCMP’s Integrated Market Enforcement Team. JSOT combines the ASC’s expertise in capital markets with law enforcement policing skills to investigate and prosecute serious violations of the law using provisions of the Securities Act (Alberta) and Criminal Code of Canada.

The opportunity

Reporting to the Manager, JSOT, the Securities Investigator is responsible for conducting financial investigations, individually and as part of a multi-disciplinary team, into breaches of Alberta securities law and/or criminal law.

Key responsibilities include

• Leading and supporting investigations that focus on fraud and financial crimes.
• Planning and conducting field interviews with key individuals.
• Preparing court applications to obtain financial records, trading data, and other evidence.
• Seeking out and analyzing information to distill what matters most.
• Playing a lead role on some investigations and a supporting role on others, with equal proficiency at both.
• Using electronic case management, evidence tracking, and e-discovery tools as part of daily workflows.
• Expertly compiling final case reports and disclosure packages so that they are ready for prosecutors or litigation counsel.
• Travelling as needed (primarily within Alberta) to gather evidence and conduct interviews.

The ideal candidate will possess

• A post-secondary education in Law, Criminology, Business, Finance, or a related field.
• A minimum of eight years’ experience; including
  • a minimum of five years of investigative experience in a regulatory agency, law enforcement, consulting firm, or financial institution; and
  • a minimum of three years investigative experience in an anti-fraud, securities, financial crime, anti-money laundering or compliance environment.
• Working knowledge of the Securities Act, Criminal Code, the Charter of Rights and Freedoms, and relevant common law principles.
• Proven experience conducting interviews of witnesses, victims and suspects.
• A self-starting mindset with the drive to move investigations forward independently.
• A sharp instinct for knowing where critical information lives — and the resourcefulness to go out and get it.
• Sound judgment with the ability to assess legal, reputational, and operational risk under pressure.
• A talent for organizing complex information and presenting it clearly —verbally and in writing — with legal precision.
• A track record of handling high-profile and high-importance matters.
• Experience testifying in legal proceedings.
• Exceptional writing skills with the ability to synthesize large volumes of data into crisp, compelling narratives.
• Agility, creativity and composure in a fast-paced, ever-changing environment.
• Strong interpersonal skills and the ability to build credibility with lawyers, regulators, and law enforcement.
• A deep curiosity paired with the ability to work quickly and efficiently.

NOTE: The successful candidate will be required to undergo an Enhanced Security Screening prior to commencement of employment.

To apply

Click the Apply For This Job Online button to submit your resume, cover letter and salary expectations by June 2, 2025. This position will work out of the ASC office located in Calgary, Alberta.You will be contacted if you are selected for an interview.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 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.

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.