CPA Accountant- Compliance
About The Position
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, and enforcement activities. The OSC also contributes to national and global securities regulation development. We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work. The Registration, Inspections & Examinations (RIE) division is currently looking for a CPA to join the team to conduct risk based reviews of market participants in the securities industry. RIE oversees dealers, advisers, investment fund managers, derivative firms and other market participants that the public relies on when investing in securities. Using a risk-based approach, RIE is responsible for the registration and compliance reviews of registered firms. RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff.
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 an asset
Responsibilities
- Champion investor protection and confidence in the capital markets: Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.
- Formulate corrective actions: preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and work with registered firms and regulated entities to determine what corrective action is required and assess appropriateness of corrective actions
- Engage with stakeholders: Find practical and balanced solutions to address non-compliance with securities laws and make recommendations for further regulatory action in appropriate circumstances
- Adapt regulatory principles to industry trends and emerging issues
Benefits
- diverse, fair, and flexible work environment
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
