Financial Compliance Officer
1 week ago
- Perform financial statement bench reviews to ensure that the Registrant is in compliance with the Travel Industry Act, 2002 and the Regulation 26/05
- Plan and conduct “on-site” inspections and/or compliance reviews of TICO registrants throughout Ontario to ensure compliance with the Act and Regulation.
- Examine all information and applicable supporting documentation against the requirements of the Travel Industry Act, 2002 and the Regulation 26/05 to identify any compliance issues or contraventions.
- Complete a Risk Assessment evaluating all established criteria to determine the registrant's risk rating. Risk Assessment to include a summary of findings of all non-compliance issues.
- Prepare Inspection Findings Reports summarizing all compliance issues including contraventions of the Act and Regulation revealed during site inspections and review all findings with registrants and answer any questions they may have.
- Prepare written correspondence to registrants in a professional and timely manner to address issues of non-compliance including any provisions of the Act and Regulation that may be applicable.
- Perform timely follow up of all non-compliance issues communicated to registrants to ensure that the issue(s) identified during inspections or compliance reviews are corrected.
- Conduct site inspections, as required, for the purpose of verifying former registrants have ceased operating at the registered business location after voluntarily terminating or having their registration revoked.
- Bring to the attention of Management all compliance files where further escalation or administrative action is recommended due to the conduct and/or refusal of the registrant to achieve compliance.
- Respond to inquiries providing guidance and advice regarding the legislated requirements, practices and conduct of registrants and non-registrants as they relate to compliance of the Act and the Regulation.
- Maintain an effective escalation process for the timely correction of non-compliance with a priority on high risk registrants to minimize risk to the travelling public.
- Maintain and keep current TICO’s database with all compliance files and/or information and data including all corresponding actions, changes, communications, activities, decisions, and outcomes.
- Maintain and keep current TICO’s Document Management System (DMS) with all compliance records, e.g., supporting documentation and communications.
- Bring to the attention of Management any compliance issues, incidents or developing trends of concern that require consideration for further action or internal review of established policies.
- Attend at Licence Appeal Tribunal / Provincial Offences hearing(s) when required, to give evidence in support of enforcement action.
- Assist with special projects and initiatives, as needed.
- Possess a CPA designation; audit experience desirable.
- Demonstrates strong organizational skills, attention to detail and excels at multitasking to proficiently handle multiple files.
- Excellent command of the English language, both verbally and in writing.
- Excellent customer service skills and the ability to deal with stakeholders regarding difficult or challenging situations in a professional manner.
- Demonstrates proactive initiative, strong analytical judgement and proficient problem-solving abilities.
- Demonstrates flexibility and the ability to work independently or work effectively as part of a team environment.
- Knowledge and experience of the travel industry is an asset.
- Knowledge of the Travel Industry Act, 2002 and Ontario Regulation 26/05 is an asset.
- Strong knowledge of Microsoft Office suite of applications, CRM systems, and a practical understanding of computer databases.
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