SVP, Registration, Inspections

2 weeks ago

Toronto, Canada Ontario Securities Commission Full time
Client Organization: Ontario Securities Commission

Position Title: SVP, Registration, Inspections & Examinations Reports to: EVP, Regulatory Operations Location: Downtown Toronto (hybrid – 3 days/week)

ABOUT THE ONTARIO SECURITIES COMMISSION (OSC) The OSC is an independent Crown agency that regulates Ontario’s capital markets and has a mandate to protect investors, foster efficient and competitive capital markets and contribute to the stability of the financial system and the reduction of systemic risk. This mandate is carried out through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.

Attracting and retaining exceptional talent is key to the OSC in realizing its vision of working together to make Ontario’s capital markets inviting, thriving and secure. The OSC offers a diverse, fair, and flexible work environment and takes pride in providing challenging and rewarding work.

CONTEXT Recognizing the need to adapt and lead in the dynamic environment of evolving capital markets, the OSC has developed a new Strategic Plan to be its roadmap for the next six years. As part of this process, the OSC has undertaken an organizational realignment and created the new Registration, Inspections and Examinations (RIE) Division. Reporting to the EVP of Regulatory Operations, the SVP will shape the Division's vision and bring fresh thinking, a programmatic approach, and a sense of urgency as it undertakes its mandate to regulate dealers, advisers, SROs, investment fund managers and other market participants through a robust registration, inspection, and examination program.

THE POSITION The SVP RIE is responsible for developing and executing the strategic direction of the Division in alignment with overall OSC objectives. With approximately 85 staff, divided into two teams, Operations and Registrant Review, the team conducts inspections, targeted sweeps and examinations and collaborates with other OSC divisions to enhance regulatory oversight. With a focus on proactively promoting compliance through prevention, the SVP RIE will lead their team to actively utilize regulatory tools such as Risk Alerts as a powerful deterrent for emerging and novel areas including, but not limited to, management of significant conflicts of interest, cybersecurity, safeguarding of assets, financial product availability and use of artificial intelligence.

KEY DUTIES AND RESPONSIBILITIES Be a Strategic Regulatory Partner Create and drive the strategic direction of the Division through the publication of Annual Examination Priorities based on risk assessments, market trends and input from other OSC Regulatory Divisions ensuring that it aligns with overall OSC vision, objectives and priorities. Actively participate as member of the Senior Leadership Team responsible for setting corporate goals and managing the Commission’s regulatory operations.

Enhance Strong External Stakeholder Relationships Identify opportunities to collaborate with external stakeholders such as Canadian Investment Regulatory Organization (CIRO) in reducing market fragmentation and regulatory burden. Work collaboratively with other OSC Regulatory Divisions to conduct risk assessments of market infrastructure entities to execute and report on the effectiveness for critical market dependency organizations such as CIRO, Canadian Investor Protection Fund, Listing Exchanges, CDS, Designated Rating Organizations.

Operational Leadership Work collaboratively with other OSC Regulatory Divisions to conduct risk assessments of current methodologies, identifying areas of vulnerability and implications to business operations, and identifying strategies to mitigate risks and address areas of concern. Continually adapt the registration process and oversight review program by designing solution frameworks, facilitating feedback discussions, and preparing and presenting revised or new approaches for consideration. Oversee the development and execution of information gathering surveys, ensuring appropriate audiences are targeted, questionnaires are designed and developed, information gathered is consolidated and analyzed and resulting reports are prepared and presented, including recommendations. Oversee the evaluation and investigation of registrant misconduct and Ontario securities law compliance breaches, ensuring timely file assessments and timely follow-up on suspension/enforcement proceeding initiations as required. Act as a decision maker for the “Opportunity To Be Heard” process ensuring that it is effectively managed, facilitating independent adjudication and managing confidentiality of results and outcomes.

Management Oversight Manage talent to ensure effective succession management, recruitment, individual and team development, goal setting and performance management of staff. Ensure management is equipped to empower and foster a team of highly skilled professionals, setting goals and achievements with the team that align with both the OSC’s strategy and the team’s personal growth.

QUALIFICATIONS (experience, capabilities and education) Deep experience in a regulatory role within the securities industry or in another, similar regulatory environment, combined with substantial experience in a senior leadership role. Ability to demonstrate deep regulatory knowledge and an aptitude for implementing compliance programs that navigate regulatory requirements. Adaptive forward-planning attitude with the ability to design, execute and report in a timely manner on emerging risks identified by various OSC teams to address compliance issues when they arise. Subject matter expertise in auditing practices and standards is an asset. Excellent communication, presentation, problem-solving and strategic/ critical thinking skills. The ability to interact professionally with external stakeholders and subject matter experts on external facing, time-sensitive matters that have significant implications for market participants and investors. Strong management and leadership skills. Diversity of thought and background is valued. Degree in Accounting, Business Administration or Law. Designation/Certification, Registration: Chief Compliance Officer designation, LLB or Juris Doctorate (J.D.) or holder of a Canadian Institute of Chartered Professional Accountants designation (CPA).

CONTACT INFORMATION Lisa Knight, Managing Partner lisa.knight@lhhknightsbridge.com Nick Protti, Partner nicholas.protti@lhhknightsbridge.com Melanie Barbieri, Senior Consultant melanie.barbieri@lhhknightsbridge.com

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