Compliance Analyst

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Reporting to the Manager, Dealer Compliance, the Compliance Analyst performs a key monitoring position at the BCSC, to ensure that registrants remain compliant with their obligations under the Securities Act, the rules and securities regulations. The key responsibilities of the Compliance Analyst include:

  • monitoring registrants’ financial filings and capital adequacy

  • preparing for and conducting on-site and desk review registrant and unregistered market participant compliance reviews

  • writing deficiency reports after completing compliance reviews

  • working with registrants and unregistered market participants to resolve compliance deficiencies and recommending to the Director compliance action or a referral to the Enforcement division where appropriate

  • acting as relationship manager for designated registrants.

Qualifications

  • The successful candidate has:

  • a degree in business, finance, law or accounting or related discipline from a recognized university/college

  • sound knowledge of registrant regulation and ongoing requirements

  • several years of securities industry experience. Experience in compliance examinations, audit, or investigating securities violations is preferred.

  • an in-depth understanding of operational procedures and investment industry business records

  • excellent research and interview skills

  • the ability to analyze information, interpret legislation and prepare technical and analytical reports and documents

  • solid knowledge of Windows applications.

An accounting, law or CFQ designation is an asset.

We offer a challenging and rewarding work environment, and a competitive compensation package that includes a defined benefit pension plan and four weeks of annual vacation. Visit http://www.bcsc.bc.ca/employment.asp to explore this exciting opportunity and apply online by September 17, 2019. Competition #19-128. Investment restrictions apply.


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