Team Lead, Registration (Lawyer)

Posting Date:
Jan 07, 2019
Alberta Securities Commission (ASC)
10+ years


Team Lead, Registration (Lawyer)

(Competition #2019.46)

Our organization:

The Alberta Securities Commission 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, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

The Market Regulation division oversees the equity and derivative marketplaces, registrants (dealers, advisers, and investment fund managers), market infrastructure entities and industry self-regulatory organizations. With a dynamic team of investment and financial professionals, we are involved in leading-edge projects aimed at balancing effective regulation with our stakeholders’ need for innovation and efficient capital markets.

The opportunity:

We are looking to add to our division a lawyer who is interested in leading a team that assesses the fitness for registration of registrant applicants, and oversees these market participants once registered.

This exciting and  newly created legal position will report to the Manager, Registrant Regulation and will be responsible for leading, mentoring and managing experienced staff that: analyze the fitness of applicants for registration so that only those firms and individuals dealing or advising in securities that meet proficiency, integrity, and solvency standards are registered; oversee these applicants once registered.

Key responsibilities:

  • Providing operational direction and leadership to the Registration team in consultation with the Manager, Registrant Regulation.
  • Overseeing the team’s review of applications for registration as, and ongoing filings of, exempt market dealers, mutual fund dealers, advisers and investment fund managers.
  • Overseeing the Registration team: recruiting and retention, setting individual and team goals, conducting performance evaluations, managing human resource issues, and ensuring the team has proper resources to meet departmental objectives.
  • Providing legal analysis, advice and recommendations with respect to matters involving registrants, including registration, compliance matters, and policy development from legal and operational perspectives.
  • Participating on the CSA registrant regulation committee, which ensures consistent application of the law across Candida on registration matters, as well as identifying emerging issues and analyzing and developing related policy.
  • Working with the Legal department to help ensure that rule and policy development in relation to registrants is well-designed.
  • Reporting quarterly and annually to the Manager, Registrant Regulation, and Director, Market Regulation  on Registration operations, including performance against benchmarks.
  • Providing the Manager, Registrant Regulation, and Director, Market Regulation with accurate and timely information regarding registration matters and activities.

The ideal candidate will possess:

  • A law degree and membership in good standing (or eligible for membership) with the Law Society of Alberta.
  • Experience administering regulatory requirements and interpreting complex legislation.
  • Demonstrated leadership skills.
  • A practical and responsive approach to problem solving and priority management.
  • Exceptional research and analytical skills.
  • Superior written and oral communication and presentation skills.
  • The proven ability to meet tight deadlines and manage multiple priorities in a busy environment.
  • A minimum of 10 years of securities industry experience preferred.

To apply:

Visit our website to submit your cover letter and resume by January 23, 2019.  More information about working at the ASC including our comprehensive Total Rewards package can be found on our website at 

You will be contacted if you are selected for an interview.



Contact Name: Human Resources

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