Securities Investigator, Investigations

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 Enforcement division enforces Alberta securities laws by investigating and prosecuting breaches of those laws with a view to stopping current misconduct and preventing future misconduct.

Reporting to the Manager, Investigations, 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. 

• Managing complex investigations with respect to breaches of securities legislation, from the initial complaint through conclusion of the investigation.
• Working with other members of the Investigations department to develop strategies and tactics to disrupt active breaches of securities legislation.
• Developing detailed investigation plans that outline strategies to collect relevant evidence.
• Preparing for and conducting witness and respondent examinations, using the powers of a statutorily-appointed investigator.
• Preparing summonses and production orders to collect evidence and relevant financial information and business records for analysis.
• Preparing comprehensive investigation reports, recommending courses of action, working closely with litigation counsel in preparing for the prosecution of cases at hearings, and testifying at hearings before ASC panels or in provincial court.
• Cooperating and consulting with police agencies, stock exchanges, self-regulatory organizations, securities regulators (nationally and internationally), reporting issuers, and other entities.
• Occasionally travelling within Alberta and elsewhere to conduct interviews and obtain evidence.

• A post-secondary degree in a related field or area (e.g., Criminal Justice, Business, Finance, Law, Economics, etc.).
• Five or more years of investigative experience such as interviewing, researching, gathering and handling evidence, documentation of findings and providing recommendations in a related environment (e.g., law enforcement, commercial crime, regulatory, etc.).
• Strong understanding of capital market fraud investigations or real estate transactions are highly preferred.
• Experience working in a team environment where professionalism, confidentiality, problem solving, critical thinking skills and flexibility are required.
• The ability to be agile, creative and solve problems in a fast-paced, dynamic work environment.
• Excellent communication skills, including strong report-writing.
• Confidence to present findings and having the ability to remain calm under stressful conditions.

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

Click the Apply For This Job Online button to submit your resume, cover letter and salary expectations by March 7, 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 at www.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.