Description

Our organization:

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 Enforcement division upholds Alberta’s securities laws by detecting, disrupting, investigating, and prosecuting breaches of those laws. 

The opportunity:

Reporting to the Director, Enforcement, the Manager, Market Manipulation & Insider Trading provides strategic and operational leadership for complex market abuse investigations. This position leads a specialized team of investigators and works collaboratively with multidisciplinary professionals across the ASC to advance strategies to identify market abuse, with a view to mitigating harm to investors and safeguarding market integrity.

This position requires active engagement with other securities regulators and self-regulatory organizations, including CSA members, CIRO, and other domestic and international partners. Through these relationships, the role contributes to intelligence sharing, coordinated enforcement efforts, and the development of innovative approaches to proactively detect and disrupt market abuse.

This opportunity is ideally suited to an individual with deep knowledge of trading systems, market structure, and market abuse typologies, combined with demonstrated people leadership and management abilities. The successful candidate will be motivated by the opportunity to shape, strengthen, and modernize the ASC’s market abuse program and to play a leadership role in protecting fair, efficient, and transparent capital markets.

Key responsibilities include:

• Leading the development, implementation, and ongoing enhancement of the ASC’s market abuse detection and disruption strategy, working collaboratively with Enforcement employees and other divisions across the organization.
• Assessing, triaging, and prioritizing high-risk market abuse matters, allocating investigative resources appropriately, and implementing processes to identify and address potential false positives at an early stage.
• Overseeing and directing complex market abuse investigations, including setting investigative scope and priorities, ensuring timely progression of matters, engaging specialized internal or external resources as required, and guiding team members on evidentiary development in support of interim and enforcement orders.
• Developing, implementing, and monitoring meaningful performance metrics for the team that assess effectiveness, outcomes, and regulatory impact, and using these insights to inform strategic decision-making, continuous improvement, and resource allocation.
• Providing strong people leadership through the recruitment, coaching, mentoring, and development of investigators, including performance management, training, recognition, and workforce planning to meet current and future business needs.
• Contributing to management-level activities within Enforcement and across the ASC, including strategic and business planning, succession planning, reporting, and organizational capability development.
• Representing the ASC at external forums, including speaking engagements, national and international committees, and regulatory working groups, and contributing to collaborative initiatives with domestic and international partners.
• Serving as a subject-matter expert and trusted advisor to senior leadership by providing timely advice on market abuse risks, disruption tools, investigative strategies, and potential market impacts in time-sensitive and emerging situations.

The ideal candidate will possess: 

• A university degree in Finance, Business, or a related discipline. Professional designations such as CFA, CPA, or CFE are considered strong assets.
• Comprehensive knowledge of securities legislation, capital markets, market structure, and trading systems, including an understanding of how market abuse can manifest across different products and venues.
• A minimum of 10 years of progressive experience in securities enforcement, market surveillance, financial investigations, or a closely related regulatory or enforcement environment.
• A minimum of five years of leadership and management experience, including coaching, leading and developing high-performing teams, fostering collaboration, and supporting professional growth.
• The demonstrated ability to lead and direct complex investigations involving illegal insider trading, market manipulation, and related forms of market misconduct, including the application of strategic and risk-based investigative approaches.
• Proven experience in effective oversight management including consistently applying strong strategic, analytical, and critical-thinking capabilities, and the ability to make sound decisions in complex and time-sensitive matters.
• The ability to apply securities legislation, regulations, and policies in an investigative and enforcement context, and to guide others in doing so.
• Excellent communication skills, with the ability to work effectively with legal, enforcement, policy, and technology professionals, and to present complex issues clearly to senior leadership.
• The demonstrated capacity to manage competing priorities in a fast-paced environment, while exercising sound judgment in matters with significant public interest and market integrity implications.

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