Securities Investigator, Joint Serious Offence Team (JSOT)

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.

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.

• 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.

• 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.