Corporate Registration Officer

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.

TheRegistration Inspections and Examinations (RIE) Division oversees the dealers advisers and investment fund managers that the public relies upon when investing in securities. Using a risk-based approach RIE focuses on initial and ongoing registration registrant conduct reviews and compliance examinations of registrants. The division consists of integrated multi-disciplinary teams including professional staff (chartered accountants and lawyers) registration officers (corporate and individual) and support staff.

RIE is currently hiring for a contract full-time Corporate Registration Officer (CRO) to join their team. Reporting to the Registration Supervisor the CRO will:

• Review and analyze filings to assess firm business models and structure; determine proficiency and integrity of individuals at firms and make recommendations for disposition in accordance with relevant securities legislation.
• Prepare effective memos with supporting evidence to document registration suitability or escalate identified concerns for further review to other teams including the Registrant Conduct Team.
• Assess exemption applications and provide in-depth analysis to grant or refuse exemption from the proficiency requirements.
• Liaise with other OSC branches regulators and market participants; effectively communicate decisions and registration process information to market participants.
• Participate in pre-registration meetings with applicants to address concerns and provide guidance as required.
• Review changes to businesses reorganizations and surrender of firms.
• Research and conduct relevant checks (detrimental registration history etc.) on firms and individuals and document findings for reports and certificates.
• Follow existing processes and procedures and suggest ways to enhance efficiency within the team.

Skills & Qualifications

• Ability to think critically and analytically to problem-solve and to collect and organize information for presentation and memos
• Excellent oral and written communication skills with both internal and external stakeholders
• Ability to prioritize and meet tight deadlines
• Experience in the capital markets industry and in-depth knowledge of registration mattersand/or background in financial services
• Experience in a compliance or registration-related role which required familiarity with application of legislation such as the Ontario Securities Act Commodities Futures Act or similar legislation
• An undergraduate degree
• Completion of the Canadian Securities Course or other related courses is preferred

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 .

VisitAccessibility at the OSCto review the OSCs policies on accessibility and accommodation in the workplace.