Regulatory Analyst, Market Oversight

  • Location

    Calgary, Alberta

  • Sector:

    Accounting and Finance

  • Job type:


  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    over 2 years ago

  • Expiry date:


Horizon Recruitment is undertaking a search for an experienced CPA to join our clients Market Regulation division. With a dynamic team of investment and financial professionals, our client is involved in leading-edge projects aimed at balancing effective regulation with their stakeholders’ need for innovation and efficient capital markets. An industry professional who wants to make a lasting impact on Alberta’s capital market would excel in this position, offering opportunities to proactively identify and analyze risks and developing regulatory solutions to address them.

This individual will form part of a team of market oversight professionals who oversee entities subject to regulation in Alberta, work closely with other regulators across Canada, and communicate ideas and recommendations directly to executive management.

Key responsibilities include:

  • Conducting oversight and compliance activities for equities and derivatives exchanges and other marketplaces subject to regulation in Alberta. 
  • Performing oversight reviews of regulated entities, including conducting annual risk assessments; planning and executing on-site examinations; reviewing subsequent findings with the entities’ senior management, and preparing reports of, and presenting findings to executive management. 
  • Assessing the impact of existing and emerging risks in the capital market on regulated exchanges and other marketplaces and developing oversight programs to mitigate those risks. 
  • Analyzing and making recommendations on proposed amendments to rules and policies of regulated exchanges and other marketplaces. 
  • Reporting on the results of oversight activities to executive management. 
  • Representing the company on various external committees, advancing views and objectives on oversight matters in respect of regulated entities.
  • Participating in various short- and long-term projects in support of divisional, operational and strategic initiatives.

The ideal candidate will possess:

  • A minimum of six years of experience in roles of increasing responsibility for conducting audits and examinations, preferably in public practice.
  • A university degree in business, finance, economics or a related discipline and a CPA, CA designation.
  • Exceptional research and analytical skills, incorporating attention to detail, and the ability to think critically and creatively.
  • Strong communication and presentation skills, with the ability to tailor messages to their audiences, both verbally and in writing.
  • Strong interpersonal skills with the ability to interact with personnel at various levels of an organization.
  • The proven ability to meet tight deadlines and manage multiple priorities in a changing environment.
  • Experience with business process reviews, internal controls testing and IT general controls would be an asset.
  • Working knowledge of Alberta’s capital markets with exposure to regulation, compliance, and marketplace and exchange operations would be preferred.

**Only candidates eligible to work in Canada will be considered**

Horizon Recruitment (Alberta) Inc. is a specialized recruitment and search firm in Finance & Accounting