Job Description

Our Calgary client is looking for a Senior Regulatory Analyst who will be responsible for leading complex registrant compliance reviews with dealers, advisers, and investment fund managers. If you have experience in producing high-quality written regulatory reports ensuring registrant's compliance with securities legislation this permanent hybrid role may be a great fit for you.

Key responsibilities include:

• Analyzing, researching, interpreting and demonstrating how regulatory obligations apply to the business operations
• Managing professional relationships with senior management of regulated entities
• Maintaining books and records for reviews
• Overseeing and evaluating the implementation of registered firm action plans
• Conducting senior-level quality reviews of analysis, review findings and compliance reports
• Mentoring less experienced Registrant Oversight Analysts during compliance reviews by being a subject matter expert
• Providing administrative and leadership support to the Team Lead and management
• Researching, preparing and presenting internal memos covering various complex issues
• Summarizing research, analysis, and conclusions

• A university degree in business discipline or equivalent
• CPA or CFA designation is preferred
• 10+ years experience in independently conducted compliance reviews and mentoring of junior and intermediate staff
• Strong analytical judgment
• Ability to apply legislation to books and records
• Excellent critical thinking and analytical skills
• Strong verbal and writing communication

If you are interested in this opportunity, please send a copy of your resume to Caelly at ccampbell@klopprichards.com.

Richards & Associates would like to thank all applicants in advance for their interest in this opportunity.