Compliance Accountants - Regulatory Examinations

Ontario Securities Commission•Toronto, ON

10d

About The Position

The Ontario Securities Commission (OSC) is seeking a CPA to join the Registration, Inspections & Examinations (RIE) division. This role involves conducting risk-based reviews of market participants in the securities industry, including dealers, advisers, investment fund managers, and derivative firms. The RIE division is responsible for the registration and compliance reviews of registered firms, utilizing integrated, multi-disciplinary teams. This is a business-critical role supporting the RIE division, offering a chance to grow your career and make a difference.

Requirements

Membership in good standing with CPA Ontario
Minimum 1 year of audit and assurance experience post CPA
Experience at an audit and assurance firm
Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely
Demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders
Demonstrated ability to balance regulatory objectives with practical business considerations

Nice To Haves

Experience in investment management or financial services

Responsibilities

Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.
Prepare formal reports detailing non-compliance with securities laws and internal control weaknesses.
Work with registered firms and regulated entities to determine and assess the appropriateness of required corrective actions.
Find practical and balanced solutions to address non-compliance with securities laws.
Make recommendations for further regulatory action in appropriate circumstances.
Adapt regulatory principles to industry trends and emerging issues.