How to Become an Investment Fund and Security - Chief Compliance Officer in Alberta
Do you need a licence?
Licence required
You must be registered with the Alberta Securities Commission to work as an investment fund and security - chief compliance officer in Alberta or to use a protected title.
- Protected titles
- Not listed in the sources checked
Show the source
“Under Alberta’s Securities Act [pdf], you must be registered with the Alberta Securities Commission (ASC) or an ASC-delegated organization to deal in and advise on securities, and to manage investment funds and portfolios.”
From alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-..., checked October 10, 2026.
At a glance
- Licence status
- Licence required See the source
- Routes
- Not stated by the regulator Check with ASC
- Annual fees
- Not stated by the regulator Check with ASC
Your roadmap
The steps are not listed yet.
Check the current steps with Alberta Securities Commission.
Requirements
Experience
You must have relevant securities experience in the investment industry, ranging from 1 to 5 years depending on your educational and designation requirements.
Source
“You must have relevant securities experience in the investment industry. The amount of experience ranges from 1 to 5 years, depending on what educational and designation requirements you have.”
alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-...
Other
You must be employed by a registered firm.
Source
“You must also be employed by a registered firm.”
alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-...Chief compliance officers of portfolio manager, investment fund manager, exempt market dealer, or scholarship plan dealer firms must register with the ASC, while those of investment dealer or mutual fund dealer firms must register with CIRO.
Source
“CCOs for portfolio manager, investment fund manager, exempt market dealer, or scholarship plan dealer firms must register with the ASC. CCOs for investment dealer or mutual fund dealer firms must register with the ASC-delegated CIRO.”
alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-...Your registration must be sponsored by a registered firm.
Source
“An individual’s registration must be sponsored by a registered firm.”
asc.ca/en/Registrant-and-Market-Regulation/Registrant-Toolkit/Getti...
Already licensed in another province?
Not stated
Chief compliance officers who are registered by and in good standing with a securities regulatory body elsewhere in Canada may be eligible for registration in Alberta, but the pages do not state whether extra steps are required. Source
“Chief compliance officers who are registered by and in good standing with a securities regulatory body elsewhere in Canada may be eligible for registration in Alberta.”
alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-...
Processing time: Not stated by the regulator Check with ASC
Credential assessment
Not stated by the regulator Check with ASC
Exams
Not stated by the regulator Check with ASC
Language tests
Not stated by the regulator Check with ASC
Canadian experience
Not stated by the regulator Check with ASC
Supervised practice
Not stated by the regulator Check with ASC
Demand and pay
No Job Bank wage or outlook data for this occupation yet.
Investment funds and securities - chief compliance officer in other provinces and territories
- British Columbia Not confirmed yet
- Saskatchewan Not confirmed yet
- Manitoba Not confirmed yet
- Ontario Not confirmed yet
- Quebec Not confirmed yet
- New Brunswick Not confirmed yet
- Nova Scotia Not confirmed yet
- Prince Edward Island Not confirmed yet
- Newfoundland and Labrador Not confirmed yet
- Yukon Not confirmed yet
- Northwest Territories Not confirmed yet
- Nunavut Not confirmed yet
Compare investment fund and security - chief compliance officer licensing across Canada
Sources checked
- Investment Funds and Securities - Chief Compliance Officer: Certifications in Alberta - alis alis.alberta.ca/occinfo/certifications-in-alberta/investment-funds-... · fetched October 10, 2026
- Getting registered | ASC asc.ca/en/Registrant-and-Market-Regulation/Registrant-Toolkit/Getti... · fetched October 10, 2026
Frequently asked questions
1
Do you need a licence to work as an investment fund and security - chief compliance officer in Alberta?
Yes. Registration with the Alberta Securities Commission is required to practise in Alberta.
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