Alberta Securities Commission

General Counsel

• Prosecuting alleged violations of the Securities Act (Alberta) in hearings conducted before panels of the Commission
• Represent the ASC in two to three hearings a year
• Provide legal advice and negotiating settlements on other files
• Work collaboratively with investigators, evidence management analysts and other litigation counsel to disrupt securities misconduct and prepare for and conduct hearings, trials and appeals
• Prepare legal memoranda that provide an assessment of and recommendations for each assigned case
• Conduct legal research in relation to Enforcement files
• Draft Notices of Hearing, submissions and other documents for administrative proceedings
• Conduct and supervise disclosure in accordance with the requisite legal standards
• Make interim and interlocutory applications at the Court of Kings Bench, Alberta Court of Justice, and the ASC
• Prepare witnesses for giving testimony
• Attempt to resolve matters through settlement negotiations when appropriate
• Provide legal advice on securities law issues to all professional members of the ASC

Litigation Counsel

• Assist with the development of securities regulatory policy.
• Engage with market participants to understand securities-related challenges.
• Consider securities regulatory solutions to challenges.
• Conduct legal research and analysis for market regulation issues.
• Work on initiatives involving rapidly evolving technologies while balancing innovation and investor protection.
• Conduct legal analysis and provide advice and recommendations regarding registration, compliance, and policy development.
• Participate on national working groups to ensure consistent application of securities laws across Canada.
• Work on committees regarding the regulation of crypto-asset trading platforms and digital assets.
• Provide legal input and direction to various oversight teams.
• Draft legal memos summarizing relevant areas of law and present policy recommendations.

Senior Legal Counsel, Market Regulation

Financial Planning and Analysis

• Review, code, and record revenues and expenses in the accounting system.
• Prepare weekly cheque runs and ensure the fee revenue received is accurate.
• Track activities and enter the revenue data using CRM.
• Classify, code, and record expenses and payables according to established clerical accounting procedures and guidelines.
• Check balance statements and other information from financial institutions for correctness and completeness.
• Maintain and input accurate financial data.

Litigation Counsel

Senior Legal Counsel, Market Regulation

Junior Accountant, Financial Services