Special Advisor, Registration
Special Advisor, Registration
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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 Senior Advisor Registration plays a critical role within the Registration Investigations and Examinations Division by taking a leadership role in Registration oversight specifically ensuring registration processing guidelines and service delivery remain efficient effective and that the Division upholds the OSCs gatekeeper responsibilities. The role is accountable to foster and build productive relationships with the registrant community and will develop maintain and continually improve processes and systems which enable the Division to efficiently and effectively grant registration to suitable individuals or firms track the status of application requests and resolve issues.
The Senior Advisor Registration is a subject matter expert in Registration and will promote a results-oriented environment where the impact of registrant regulation activities visibly improves investor protection and confidence in capital markets.
Key Duties and Responsibilities
Provide expert knowledge and advice on Registration structure; and identify and monitor trends assess implications and recommend appropriate actions
Assesses complex Registration and operational matters and provides informed recommendations to improve process and create efficiencies.
Take a leadership role in Registration oversight such as;
- Providing oversight for initial ongoing and surrender of registration of firms and individuals which consists of high-volume processing activity
- Maintaining building and improving registrant and applicant due diligence assessment processes including registration as a first compliance review and background checks processes
- Ensuring file assessments are complete optimal courses of action are determined recommendations are prepared reviewed and approved and normal course regulatory action is taken
- Identifying and referring non-compliance and misconduct matters to compliance operations and registrant conduct teams as appropriate
- Maintaining service and quality standards for the registration process and effectively allocate resources
- Assist CIRO Registration as and when needed as CIRO continues to onboard delegated registration functions
- Provide mentorship and ongoing guidance to more junior staff and other staff on Registration related matters
Build and implement new processes in support of the CIRO delegation project
Take on certain management related activities as delegated by management such as leading delegation projects compliance assessments oversight reviews and review of rules new products & services and novel material business changes.
Proactively anticipate and manage working relationships with the CSA SRO and internal/external stakeholders building consensus to deliver results by ensuring services and team activities support stakeholder needs addressing issues and soliciting expertise when needed.
Qualifications
Undergraduate degree in Business/Commerce/Finance/Accounting or equivalent
10 years of business or operational experience in a regulatory role within the securities industry or in a regulatory body with expert knowledge of the Canadian securities regulatory environment including the Securities Act (Ontario) and the Commodity Futures Act (Ontario) and how they are administered
10 years experience in capital markets in the area of registration and compliance required
Demonstrated ability to manage multiple projects to meet deadlines
Strong written and verbal communication skills and ability to clearly articulate complex concepts
Demonstrated ability to analyze complex problems and develop creative recommendations that consider substantive or material issues and their impact to the market place
Strong liaison teamwork and leadership skills
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 barrier-free to all under-represented 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 .
Required Experience:
Unclear Seniority
Employment Type
Full-Time
