Senior Registration Specialist

7 days ago

Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

Description

:

OVERVIEW OF ROLE

To provide advisory and consultation services to corporate client registrants to facilitate compliance with legislated requirements for licensing application, submissions.

To analyze and recommend approvals for registration application submissions and prepare briefings and Minister and Superintendent's letters.

To conduct issues analysis, lead consultation processes and the research, analysis, development and implementation of policy initiatives and Financial Servicers Regulatory Authority of Ontario (FSRA) licensing related communication documents..

Additional duties will include:

Licensing Requirements Advice Provides technical and business advice to financial institutions, organizations, groups and individuals related to a licensing activity and business operations of registrants (e.g. insurance companies, insurance agents and agencies, credit unions, co-operatives, loan and trust companies and mortgage brokers) to assist them in compliance with legislated requirements. Reviews client's business plans and provides advice and support on strategic objectives and business policies and practices. Provides information and advisory services to representatives of registrant organizations on the interpretation and application of legislation, regulations, and policies and standards related to complex licensing and registration applications. Coordinates consultation processes with registrants, interested stakeholders, and other jurisdictions related to financial service enforcement legislation, policies, processes and issues. Conducts analysis and develops recommendations for senior management regarding submissions made to FSCO pursuant to legislation governing registrants (e.g. offering statement, new incorporation).

Product Analysis and Assessment

Reviews and analyzes documents and recommends approvals related to product statutory approvals (e.g. variable insurance contracts). Reviews prospectus, ensures disclosure elements have been provided, identifies key elements of the new products, ensures products meet legislated requirements and obtains legal opinions where required. Reviews, analyzes and assesses applications from licensed corporations for Orders-in-Council and Ministry/Superintendent petitions and consents; prepares reports with recommendations for approval/denial or the necessity for a hearing.

Registration/Licencing Policy Research and Analysis

Conducts research and analysis related to legislation, policy issues, financial licensing, registration and enforcement issues, trends and developments in other jurisdictions. Prepares briefing materials, correspondence, bulletins, issue sheets, and recommendations related to legislation, policy and procedure initiatives and revisions for review by senior management, and prepares other communication documents and content for the FSRA website. Reviews licensing and registration procedures, methods, systems and processes for the administration of FSRA legislation; develops, recommends, and leads project teams for the development and implementation of new initiatives and/or revisions to current procedures, methods, systems and processes. Leads and/or participates on various divisions, FSRA, ministry, inter-ministry, stakeholder, and inter- jurisdictional committees and project teams. Acts as manager of unit during absences of the manager.

Qualifications

Specialized Knowledge and Experience

Licensing and registration procedures and contract law to assess a client's eligibility for licensing and registration and to make recommendations to senior manager for approval. Principles and practices of accounting reporting to assess applications and related documents to ensure registrants are solvent and consumers are protected. Government policy development processes to advise senior manager when changes are needed and to participate in developing new policy. FSRA's legislation, mandate, current issues and trends relating to licensing to respond effectively to client and consumer needs, as well as to research and make recommendations in policy, legislation and procedural changes. Business operations and planning methods/practices of client organizations and of individual registrants to provide business advice and guidance to ensure the efficiency of their operations and to understand the context of their licensing application submission. Project management and planning skills to plan, research and lead the development and implementation of new and revised policies and procedures that respond to changes in the marketplace and to coordinate financial analyses and assessments to achieve FSRA's consumer protection mandate. Analytical and research practices to review policy issues; prepare recommendations for senior management consideration. Freedom of Information and Protection of Privacy Act in order to research and prepare responses to licensing inquiries. Oral and written communication skills to provide information to registrants and consumers, represent the department at meetings with clients; provide advice and recommendations to senior management, and prepare briefing papers, Minister's letters and draft legislation/policies. Computer skills to do research, prepare reports, use data base applications to access and analyze information. Negotiation and persuasion skills to have applicants for licensing/registration, proposed incorporations or mergers, etc. accept recommendations of changes in their requests and avoid giving rejection decisions which may lead to confrontations and appeals to the Financial Services Tribunal, elected politicians and the Minister. Influencing skills to convince applicants that accepting the recommended changes will meet with their requirements and allow the government to carry out its role of protecting the financial interests of consumers/depositors. Consultation skills to conduct discussions hear concerns and provide advice to representatives of client organizations and other stakeholders on FSRA's mandate of consumer protection. Interpersonal skills to work with staff in other sections (Legal Services Branch, Market Conduct Section, Investigations Section) when applicable. Assess operational needs to identify areas of service that require improvement to serve clients, as in encouraging the use of on-line licensing system. Determine issues that may be contentious as in making the use of online system mandatory, investigate and recommend appropriate changes to the system to resolve key problems. Evaluate trends using multiple sources of information to identify requirement, develop options and make recommendations. Review applications for licensing/registration, amendments and proposal to incorporate or merge, negotiate and recommend changes to the application to facilitate decisions made in favour of the application rather than denying the application which can lead to confrontations/appeals causing political embarrassment. Provision of advice that recognizes the interests of registration applicants to establish businesses beneficial to a community/region as well as maintaining the government's mandate to protect the consumers' or depositors' interests from decreasing personal choices for financial services. 1-2 years of regulatory experience is an asset

Job Posting End Date:

05/26/2024

Job postings close at 11:59pm on the date noted.

Compensation Grade:

Grade 05-AMAPCEO

Compensation Range:

$69,425.00

-

$100,036.00

Bargaining Unit:

AMAPCEO

Job Code:

Job Code: 5A001F

Employment Type:

Regular

Scheduled Weekly Hours:

36.25

FSRA is committed to ensuring equity in employment. Our goal is to create a diverse, inclusive workforce that reflects the communities we serve and to ensure our services and communications are accessible to all individuals. Accommodation is available under the Ontario Human Rights Code.

NOTE: ONLY QUALIFIED CANDIDATES WILL BE CONSIDERED

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