Enterprise Compliance Lead

Ontario Securities Commission•Toronto, ON

10d

About The Position

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets. The General Counsel’s department (GCD) provides expert, client-centred, legal, strategic and risk management advice to the Commission. The GCD includes the Compliance Office responsible for administering controls related to the Code of Conduct and advising on related ethical issues and coordination of enterprise wide compliance framework. Reporting to the Associate General Counsel, the Enterprise Compliance Lead provides strategic oversight of the OSC’s Compliance Office and leads the enterprise compliance program, ensuring alignment with applicable laws, regulations, and government directives. The role is accountable for maintaining and advancing the enterprise compliance framework and promoting a strong culture of ethical conduct across the organization. Working closely with the Compliance Officer, the Enterprise Compliance Lead oversees the employee personal trading program, supports elements of the Code of Conduct and the Public Service of Ontario Act, and provides practical advice on ethics and compliance matters. The role also strengthens organizational integrity by embedding compliance practices into daily operations. In addition, the Enterprise Compliance Lead manages enterprise-wide compliance monitoring, reporting, and attestation processes; advises Ethics Executives; and provides briefings to senior management and the Board. Through this work, the role drives continuous improvement in compliance management, reporting, and ethical practices across the OSC.

Requirements

Undergraduate degree in business and/or a relevant discipline, or equivalent experience and education.
10+ years of relevant, senior level experience in designing and governing enterprise compliance frameworks and programs is required.
Deep knowledge of public sector ethics and policy experience, and successful completion of the Canadian Securities Course are required.
Strong knowledge of capital markets and financial services industries and their standards and practices.
Demonstrated ability to lead cross-functional initiatives and influence evolving organizational compliance culture.
Proven ability to build trusted relationships with senior executives and external oversight bodies.
Demonstrated experience in anticipating and supporting enterprise-wide compliance readiness.
Demonstrated leadership in guiding and advising compliance professionals or functions.
Strong understanding of internal control frameworks and compliance risk assessment methodologies.
Experience advising senior leaders on ethics, conflicts of interest, and public-sector accountability requirements.
Excellent communication skills to engage and influence a wide range of stakeholders.
Ability to think strategically at an enterprise level.
Ability to apply sound judgment to complex and emerging issues.
Detail-oriented and highly collaborative.
Proven ability to prepare clear reports, presentations, and briefing materials.
Ability to manage sensitive information with discretion.
Proactive in identifying risks and opportunities.
Comfortable navigating ambiguity.
Continuous improvement mindset, including an interest in leveraging data, analytics, and emerging tools to enhance compliance oversight.

Responsibilities

Provide expert advice to senior leadership, including Ethics Executives, on the interpretation and application of the Code of Conduct and relevant legislation.
Function as a subject matter expert on ethics, compliance, and conflicts of interest, partnering with legal counsel on complex matters.
Build and maintain strong relationships with internal and external stakeholders while modeling integrity and ethical decision-making.
Lead the development, implementation, and continuous enhancement of the enterprise compliance framework.
Oversee the creation and maintenance of policies, procedures, and tools that support the compliance program.
Drive improvements to compliance processes, controls, and reporting to strengthen program effectiveness.
Oversee enterprise compliance monitoring, including attestation and Certificate of Assurance processes.
Report on compliance risks, issues, and trends to senior leadership and the Board, ensuring transparency and accountability.
Partner with Risk and Internal Audit to assess controls and ensure timely identification, escalation, and remediation of compliance issues.
Promote a strong culture of ethics and compliance through targeted training, communication, and guidance.
Monitor regulatory and legislative developments and ensure organizational readiness and alignment.
Collaborate with governance, risk, and audit functions to support a cohesive enterprise-wide approach.
Provide strategic oversight of the employee personal trading program and related ethics requirements.
Ensure effective administration of declarations, attestations, and compliance with the Code of Conduct.
Guide and support the Compliance Officer in the day-to-day execution of the compliance program.