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, you will 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.

• Develops, executes, plans and conducts complex audits and programs.
• Analyzes audit findings and prepares reports for compliance with securities laws.
• Resolves issues raised during audits with senior management of registered firms using tact and diplomacy.
• Analyzes financial statements to ensure registrants meet capital requirements.
• Understands and analyzes securities laws, develops new laws for emerging issues, and prepares amendments for outdated provisions. 
• Embeds corporate culture and values through the division and organization

Job Capabilities:  

As a public servant, we are seeking someone who:

• Is accountable, takes ownership of their work by contributing to organizational outcomes and demonstrates the corporate values in our Commitment to Excellence.
• Is innovative and seeks out ways for improvement by thinking creatively, identifying new ideas and taking responsible risks.
• Works collaboratively with others to understand, engage and have meaningful dialogue to achieve work outcomes.
• Is inclusive, identifies and is aware of personal bias, and readily seeks out and appreciates diverse perspectives.
• Is adaptable, continuously learns from experience and applies those learnings to new situations.
• Focuses on achieving public service excellence. 

Technical Knowledge and Skills:  

A successful candidate must have knowledge and a good understanding of risk-based auditing techniques. The knowledge and skills required for this position would be acquired through the completion of a university degree in Business Administration or Commerce along with several years of progressive experience and a Charter Professional Accountant or Certified Internal Auditor designation. 

Job Skills:

• Communication (Level C)  
• Critical Thinking (Level C)
• Digital Skills (Level C)
• Interacting with Others (Level C)
• Navigating Ambiguity (Level C)
• Managing Self (Level C)  
• Health, Safety and Wellness (Level A)  
• Data Literacy (Level C)  
• Influence (Level C)
• Political and Organizational Awareness (Level C)  

Learn more about the Government of Saskatchewan’s Capabilities and Skills Framework here.