Compliance Auditor

The Opportunity:

The FCAA protects Saskatchewan consumers and investors and fosters fair and efficient markets by providing effective, balanced, and timely marketplace regulation. The FCAA enhances investor protection through registration, audit, complaint handling and enforcement activities pursuant to The Securities Act, 1988.

The Securities Division of the FCAA is currently seeking a highly motivated professional to join our team as a Compliance Auditor for a 9-month term. In this position,youwill conduct audits and reviews of provincial exempt market dealers, portfolio managers and investment fund manager firms. You will also be responsible for developing and conducting regulatory activities such as determining risk ratings of Saskatchewan registrant investment firms and performing risk-based audits to assess registrants' compliance with securities legislation and other regulatory requirements. You will communicate deficiencies to registrants, monitor to ensure these items are resolved, and recommend escalating regulatory actions if deficiencies are not appropriately addressed. You will also participate on Canadian Securities Administrators policy committees relating to compliance.

As an employer, we believe in the importance of balancing responsibilities and interests outside of work with the demands of the workplace and offer flexible work arrangements. We value our people and appreciate their hard work and we have a culture of respect, collaboration, openness, and recognition.