Investigator, Complaints & Assessment Jobs

The Alberta Securities Commission 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 Enforcement Division enforces Alberta securities laws by investigating, disrupting and prosecuting breaches of those laws with an eye for preventing and stopping current and future misconduct.

All investigations within the Enforcement division begin here. Investigators on this team are the critical front end of the case pipeline. The Investigator, Complaints & Assessment is the first point of contact in the overall intake, analysis and response to complaints and inquiries from the public, police, regulatory bodies, and other intelligence agencies. In addition, this role will perform proactive surveillance to identify possible breaches of Alberta securities laws.

• Successful completion of the Canadian Securities Course and Conduct and Practices handbook would be considered an asset.
• Regularly interacting with complainants on the phone using an empathetic, strategic and adaptive communication approach. These interactions require the Investigator to effectively respond to diverse scenarios while gathering specific, concise and relevant information. This information will then form the basis for the Investigator to assess each situation and consider whether securities misconduct may have occurred.
• A post-secondary degree or diploma in Business, Finance, or in a related discipline (equivalencies and a combination of work experience will also be considered).
• Excellent research and analytical skills and the ability to make time-sensitive recommendations in a high-volume environment.
• Strong oral and written communication skills.
• Proven experience in a team environment demonstrating professionalism, confidentiality, problem-solving, critical thinking skills, and innovation.
• Utilizing critical thinking and problem-solving skills, sound judgment, and information gleaned from consultations with subject matter experts to provide well-reasoned responses on cases and effective written recommendations on courses of action (e.g. advance cases to the Investigations department, close cases, or refer cases to different agencies/departments).
• A minimum of four years of professional experience in a financial, regulatory, or compliance role.
• Understanding trading, order flow and market mechanics in the equities and derivatives markets would be considered an asset.
• Receiving assessing, and responding to complaints, referrals, and requests for assistance from various stakeholders (such as members of the public, victims, regulators, law enforcement agencies, financial institutions, and others) to identify possible breaches of Alberta securities laws.
• Entering case details, evidence and records into relevant databases.
• Identifying opportunities to disrupt securities-related misconduct and otherwise protect investors, including through regular surveillance of the internet and social media.
• The ability to empathize in a calm and empowering manner with people who are experiencing difficult and emotional circumstances.
• Superior listening and facilitation skills with an excellent phone manner and a high level of customer service.
• Assessing and conducting preliminary investigations on cases by conducting research, analyzing evidence, and interpreting securities laws. This may involve conducting open-source searches, background searches, gathering evidence, contacting and interviewing witnesses on the phone, applying knowledge of Alberta securities laws and practices, and preparing correspondence, notes, summonses, orders, reports, and memos.

Click the Apply For This Job Online button to submit your resume, cover letter and salary expectations by September 8, 2023. 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 at www.asc.ca.

We offer a professional 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.