Job Order Detail

Description

About You:
You are an audit professional with strong analytical, problem solving, and interpersonal skills. You are experienced in conducting audits, including developing audit plans, interviewing key personnel, assessing and analyzing firms records and operations for compliance with securities law, and preparing and presenting audit reports. You are skilled in interpreting, explaining and applying legislation and regulation in a regulatory environment or have audit experience in the investment sector.

What is the opportunity?
The Securities Division of the FCAA is currently seeking a highly motivated professional to join our team as a Compliance Auditor for a 12-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.

What do you need to be successful:
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.

About the FCAA
The FCAA protects Saskatchewan consumers and investors and fosters fair and efficient markets by providing effective, balanced, and timely marketplace regulation.