Senior Securities Investigator — Enforcement & Investigations

Alberta Securities Commission; Calgary; On-site; CAD 90,000 - 120,000; Full time

Benefits offered by this job

Employer-paid benefits

Health and dental

Life insurance

Disability coverage

Retirement benefits

Travel insurance

Paid vacation & sick days

Employee assistance program

Transit allowance

Flexible spending account

Professional development

Job summary

The Alberta Securities Commission is seeking a Securities Investigator to conduct detailed investigations of complex matters, individually or in teams, into breaches of securities legislation. You will prepare evidence-based recommendations and conduct witness examinations, collaborating with police, regulators, and market participants to disrupt misconduct.

Ideal candidates bring a university degree, eight years of investigative experience, and strong knowledge of securities law and

Qualifications

• 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 ability to analyze evidence and statutes, and to produce clear investigative reports under deadlines.
• A minimum of eight years of investigative experience, including witness interactions and inter-agency collaboration.
• A minimum of three years in securities regulation, financial services, compliance, or a similar regulatory environment is a strong asset.
• Knowledge of the Securities Act, Alberta regulations, investigative techniques, and relevant case law.
• Advanced technical skills with CRM, e-discovery tools, and analytical software.

Responsibilities

• Managing complex investigations from intake to strategic management of each case.
• Collaborating with Enforcement division to disrupt active breaches of securities legislation.
• Developing detailed investigation plans to collect relevant evidence.
• Preparing for and conducting witness and respondent examinations (in person and virtual).
• Preparing summonses and production orders to collect evidence and business records.
• Providing evidence-based written recommendations and testimony when required.
• Cooperating with police, stock exchanges, regulators, issuers, and other entities to exchange information.
• Identifying trends in securities misconduct and developing disruption strategies.
• Using diverse resources within ASC to deploy disruption tactics.
• Traveling within Alberta and elsewhere for investigations and evidence collection.

Skills

Written communication

Verbal communication

Analytical thinking

Evidence analysis

Strategic thinking

Education

University degree in related field

Tools

CRM

E-discovery

Analytical software

Job description

The Alberta Securities Commission is seeking a Securities Investigator to conduct detailed investigations of complex matters, individually or in teams, into breaches of securities legislation. You will prepare evidence-based recommendations and conduct witness examinations, collaborating with police, regulators, and market participants to disrupt misconduct.

Ideal candidates bring a university degree, eight years of investigative experience, and strong knowledge of securities law and