Manager, Intake, Service & Proactive Enforcement

Janet Soles and Associates has been retained to conduct this search on behalf of the Alberta Securities Commission. For more information about this opportunity or to apply please send your resume and cover letter in confidence with the subject line Manager - ASC to .

The Alberta Securities Commission (ASC) is the industry-funded regulator responsible for administering the provinces 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 Canadas capital markets.

The Enforcement division upholds Albertas securities laws by detecting investigating and prosecuting breaches of those laws. The division also focuses on deterrence disruption and preventing misconduct.

Are you inspired by purpose-driven work that makes a real difference Do you thrive on driving innovation in processes and service delivery Do you see technology as a catalyst for smarter faster and more effective enforcement

Reporting to the Associate Director Enforcement the Manager Intake Service & Proactive Enforcement provides tactical and operational leadership for the front-end functions of the ASC Enforcement division. This includes oversight of public tips and complaints referrals from external regulatory agencies other enforcement agencies internal ASC divisions and the Office of the Whistleblower (OWB). The Manager leads a high-performing team fostering a culture of accountability collaboration and continuous improvement.

• Providing leadership and oversight of front-end enforcement functions including case assessment service to the public and stakeholders and the Office of the Whistleblower (OWB).
• Overseeing the intake triage and assessment of public complaints whistleblower tips and referrals from external agencies and other divisions within the ASC ensuring timely service standard compliant responses and effective stakeholder engagement.
• Setting parameters and priorities for swift complaint assessment and case openings ensuring consistency accuracy and alignment with Enforcement objectives.
• Overseeing disruption initiatives to identify leverage points scalable actions and novel approaches to disrupting misconduct including opportunities that enhance investor protection and market integrity.
• Overseeing the development of intelligence products that identify risks generate enforcement leads and support investigations through data-driven insights.
• Guiding and supporting the Whistleblower Officer on the assessment of incoming tips including advice on discretion and procedural considerations.
• Strengthening analytical capabilities by improving metrics dashboards and data interpretation to support efficient operations and deliver statistical and risk informed reports that surface key trends and emerging threats.
• Address complex challenges and build strong working relationships with Self-Regulatory Organizations (SROs) Exchanges (e.g. TMX Group) national and international regulators (e.g. SEC) and global organizations (e.g. IOSCO).
• Assessing and aligning team skill sets experience and competencies with departmental goals; develop and maintain a staffing plan that supports both current needs and future growth.
• Establishing clear performance expectations and objectives that align with the departments mandate the ASCs business plan and strategic plan. Empowering staff by clarifying roles responsibilities and decision-making authority.
• Serving as a member of the Enforcement management team contribute to divisional planning activities including the business plan budget development and strategic plan initiatives.
• Role-modelling ASC values and leadership behaviours fostering a culture of integrity accountability and service excellence across the department.
• Fostering open and constructive dialogue across ASC divisions by acting as a liaison and providing an enforcement perspective on cross-functional initiatives (e.g. Advanced Research & Knowledge Management; Communications & Investor Education) ensuring alignment with regulatory priorities and investor protection goals.

• A university degree in a related field such as Business Finance Law Economics or equivalent.
• A minimum of 10 years experience in conducting or overseeing regulatory administrative or criminal/quasi-criminal investigations.
• A minimum of five years management experience including successfully leading a team of professionals.
• A proven track record of leveraging data and technology to drive continuous improvement; the ability to generate insights from these inputs to support decision making is preferred.
• Familiarity with strategic and tactical disruption activities and intelligence programs including capabilities products and enforcement applications is beneficial.
• Experience in securities finance or digital assets industries is an asset.
• Knowledge of the Securities Act and related provisions in the context of assessing misconduct in complaints tips and referrals.
• Knowledge of Criminal Code provisions relevant to securities-related offences.
• Knowledge of investigative procedure and techniques in a regulatory administrative or criminal context.

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

To apply please send your resume and cover letter in confidence with the subject line Manager - ASC to . 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.

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.