CPA Accountant - Compliance
CPA Accountant - Compliance
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Job Description
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontarios 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) divisionis 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 riskbased approach RIE is responsible for the registration and compliance reviews of registered firms.
RIE consists of integrated multidisciplinary teams including professional staff (accountants and lawyers) registration officers and support staff.
This role requires you to:
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 noncompliance 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 noncompliance with securities laws and make recommendations for further regulatory action in appropriate circumstances
Adapt regulatory principles to industry trends and emerging issues
Qualifications:
We are looking for a candidate with an inquiring mind and a passion for the capital markets that has:
Membership in good standing with CPA Ontario
35 years of audit and assurance experience post CPA preferably from working in the securities capital markets investment management or financial services
Demonstrated ability to show creativity achieve results and 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
Grow your career and make a difference working at the OSC.
* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrierfree to all underrepresented groups including but not limited to Indigenous Black and racialized groups people with disabilities women and people from the 2SLGBTQI community to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: Ascend Canada BlackNorth Initiative Canadian Centre for Diversity and Inclusion and Pride at Work Canada
If you require an accommodationduringthe recruitment process please let us know by contacting our confidential inbox .
Employment Type
Full-Time
