Senior Compliance Investigator/Officer

British Columbia Securities Commission
Posted:
Nov 20, 2020
Company/Firm:
British Columbia Securities Commission
Close Date:
Dec 11, 2020
Location:
Vancouver

Description

Corporate Finance Division
British Columbia Securities Commission

Centrally located in downtown Vancouver, the British Columbia Securities Commission administers the Securities Act. Our mission is to foster fair and efficient capital markets and a dynamic and competitive securities industry. We are an independent agency accountable to the legislature and the public through the Minister of Finance.

Overview
The successful candidate will join the Compliance team in the Commission's Corporate Finance division. The Corporate Finance division reviews continuous disclosure, insider reports, prospectuses, and other filings. Compliance team staff, reporting to the Chief of Compliance, investigate issuers or insiders when their disclosure potentially breaches the Securities Act.

Key Responsibilities Include:

  • conducting investigations focused on potential breaches of the Securities Act, which typically involves:
    • collecting and cataloguing evidence, including by:
      • interviewing witnesses
      • drafting and serving orders that require parties to provide information and documents
      • analyzing financial and business records and electronic communications
    • preparing referrals to the Commission’s Litigation team for enforcement proceedings, and organizing related evidence
    • testifying at hearings of enforcement proceedings
  • recommending appropriate action, including sending cautions, requiring corrective steps, formal settlements, or seeking sanctions at a hearing
  • liaising with Corporate Finance accounting, disclosure, and mining staff, Enforcement division staff, witnesses, legal counsel, external law enforcement, financial institutions, and others during investigations and hearings
  • maintaining a current awareness of the law and investigative best practices
  • participating in internal and external outreach, training, working groups, committees, and conferences.

Qualifications
The ideal candidate has a degree in business, accounting, law, or a related field. The candidate has excellent analytical and written/oral communication skills, the ability to perform well under pressure, sound judgment, the ability to exercise tact and discretion, persistence, and a minimum of five years of recent experience with some of the following:

  • investigating, litigating or advising on securities, corporate-commercial, or financial matters within a criminal, regulatory, or civil context
  • identifying and collecting evidence to prove or disprove the elements of specific offences or allegations
  • preparing for and conducting witness interviews
  • conducting or directing analysis of financial and business records, preferably with experience identifying and tracing sources and uses of funds
  • handling data or documents for investigative or disclosure purposes
  • preparing written case reports.

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 bcsc.bc.ca/about/careers to explore this exciting opportunity and apply online by
December 11, 2020. Competition #20:120. Candidates must be authorized to work in Canada. Investment restrictions apply.

BCSC-Senior-Compliance-Investigator-Officer-job-posting.pdf

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