Compliance Officer

Are you curious by nature, analytical at heart, and motivated by protecting the integrity of capital markets? As a Compliance Officer, you’ll play a critical role in safeguarding investors and confidence in BC’s securities market. In this role, you’ll review and monitor disclosure from issuers and insiders to ensure compliance with securities legislation, proactively identify potential misconduct, and respond to inquiries and complaints from the public, industry participants, and other regulators.

You’ll apply sound judgment, strong research skills, and a public interest mindset to help determine outcomes—ranging from education and warnings to escalation for further investigation. This is an exciting opportunity for someone who enjoys complex problem-solving, research, and collaboration, and who wants to make a meaningful impact in a regulatory environment. Key Responsibilities Your key responsibilities include: Conduct ongoing surveillance of issuers’ and insiders’ disclosure to identify high‑risk matters requiring closer review Research market participants and review their filings Review, refer, and respond to complaints and inquiries from the public, other Commission staff and industry professionals Gather information through voluntary requests, including written inquiries, questionnaires, emails, and interviews with investors, brokers, potential wrongdoers, and their legal counsel.

Analyze evidence related to business transactions and financial affairs, including disclosure accuracy and use of exemptions Assess whether regulatory issues are present and recommend outcomes in the public interest, such as education, warnings, file closure, or escalation to a Compliance Investigator Support Compliance Investigators by: Summarizing evidence in clear, well‑structured memos and reports Creating timelines, spreadsheets, charts, and other analytical tools Assisting with preparation for compelled interviews and production orders Ensuring evidence is properly documented, logged, and managed. Qualifications A degree in business or another relevant discipline and at least two years of experience in the securities industry, including experience reviewing securities legislation or an equivalent combination of education and experience Strong proficiency with Microsoft 365 applications, including Word and Excel Working knowledge of securities and corporate legislation, capital markets, and administrative enforcement processes; completion of the Canadian Securities Course is an asset Ability to learn investigative techniques, and solid analytical skills (experience with case management or evidence handling would be an asset) Excellent communication skills — comfortable engaging in both collaborative and challenging discussions Demonstrated judgment, discretion, tact, and initiative. What We Offer We offer a challenging and rewarding work environment which includes: Extensive benefit package including a defined benefit pension plan, medical and dental coverage, Wellness and Health Spending Account benefits, and four weeks of annual vacation Beautiful downtown office Work life balance A collaborative, progressive, and professionally diverse team to work with!

Salary Range The salary range for this position is $65,314 (minimum) – $81,645 (midpoint) – $97,973 (maximum). The starting salary for this position will be determined considering the successful candidate’s relevant experience and education, salaries of other employees in the same salary range, market conditions, and other relevant factors. Starting salaries are normally below the salary band midpoint.

The BC Securities Commission embraces diversity and is committed to building an inclusive workforce that celebrates the richness of our community. We aim to ensure every job applicant is treated fairly and with respect and encourage applications from all candidates, including those with diverse abilities. We welcome you to inform us in confidence by emailing HumanResources@bcsc.bc.ca if you may require any support or accommodations during the application process, including disability accommodation, in order to participate fully in our recruitment experience.

Candidates must be authorized to work in Canada. Investment restrictions apply. #J-18808-Ljbffr