Manager, Market Oversight

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

The Market Regulation Division oversees equities and derivatives marketplaces, registrants (dealers, advisers, and investment fund managers), and industry self-regulatory organizations (SROs). With a dynamic team of investment and financial professionals, we are involved in leading-edge projects aimed at balancing effective regulation with our stakeholders’ need for innovation and efficient capital markets.

We are looking to add to our division a manager who is interested in making a lasting impact on Alberta’s capital markets by proactively identifying and analyzing risks to and opportunities for the capital market and developing fit-for-purpose, proactive regulatory solutions to address those risks and opportunities.

Reporting to the Director, Market Regulation, the Manager, Market Oversight leads a team of industry professionals responsible for the regulation and oversight of self-regulatory organizations (SROs), and market infrastructure entities operating in Alberta, including equity marketplaces, crypto-asset platforms and clearing agencies. The role contributes to developing market structure policy and planning and implementing new regulatory framework decisions.  The Manager, Market Oversight works closely with other regulators across Canada and communicates directly with Alberta capital market participants, ASC executive management and Commission Members.

• Providing advice, direction, support and feedback to the Market Oversight team, including conducting annual performance reviews, regular one-on-one and team meetings; setting goals; acting on human resource issues; recruitment and retention; evaluating work performance; and ensuring the team has the proper resources to meet set objectives.
• Contributing to business and strategic planning from a market oversight perspective.
• Working closely with the Market Regulation management team and employees, and other divisions within the ASC to achieve business and strategic plans.
• Working with senior executive of local, national and international market participants and regulators to develop harmonized solutions to regulatory issues.
• Co-leading the regulation of Canadian Investment Regulatory Organization (CIRO) within the CSA.
• Providing effective, proactive oversight of equity marketplaces and clearing agencies that operate in Alberta, co-leading the regulation of TSXV.
• Providing direction and leadership to members of the team in the execution of oversight and policy analysis and development regarding equity marketplaces and clearing agencies, fixed income infrastructure entities, crypto asset platforms, self-regulatory organizations and market structure initiatives.
• Overseeing the team’s analysis of applications for recognition or exemption by market infrastructure entities, and the ongoing filings of regulated entities.
• Representing the ASC on various CSA committees to ensure consistent application of securities law and harmonized oversight practices across Canada, identify emerging issues and risks, and analyze and research related policy.
• Reporting on a regular basis to the Director, Market Regulation, executive management and Commission Members on high profile initiatives, market oversight matters and status of activities.
• Working closely with the division’s Legal department to ensure that relevant rule and policy development is well-designed.
• Analyzing complex information, researching, interpreting legislation, and guiding staff in drafting technical and analytical reports and documents.
• Communicating ideas and making recommendations regarding regulatory matters to ASC executive management.
• Participating in various short-term and long-term projects in support of divisional, operational and strategic initiatives.

• A minimum of 10 years of securities law, public accounting, or securities industry experience.
• An undergraduate degree in law, business, finance, economics or a related discipline, or equivalent experience and education.
• Demonstrated leadership skills and experience with either formally or informally leading teams.
• Exceptional research, analytical and critical-thinking skills.
• Strong problem-solving abilities combined with a proactive, practical approach to addressing new or complex issues.
• Superior written and verbal communication and presentation skills.
• Strong interpersonal skills with the ability to interact with personnel at various levels of an organization.
• The proven ability to be flexible, adaptable and excel in a dynamic environment that requires diverse knowledge and expertise and exceptional organizational skills.
• A strong understanding of Alberta’s capital markets, including current market structure, emerging market trends and marketplace terminology preferred.
• Experience in or exposure to regulation, compliance and marketplace operations preferred.
• An LLB with membership in good standing (or eligibility for membership) with the Law Society of Alberta, a CPA, CFA, MBA, or other relevant post graduate business designation is considered an asset. A combination of relevant education and industry experience will be considered.

Click the Apply For This Job Online button to submit your resume, cover letter and salary expectations by August 5, 2026. 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.