Compliance Officer

2 weeks ago

Toronto, Canada Financial Services Regulatory Authority of Ontario (FSRA) Full time

FSRA is guided by our vision of financial safety, fairness and choice for Ontarians. We achieve this by public service through dynamic, principles-based and outcomes-focused regulation. FSRA is committed to attracting and retaining exceptional people who bring energy, expertise, and experience. This includes providing a comprehensive total rewards package that looks beyond compensation and takes into consideration those things that are important to employees:
- High employee engagement scores with opportunity for growth, learning and development
- Flexibility with a hybrid work model in an office designed for collaboration
- Competitive benefits plan, including a Defined Benefit pension plan
- Promoting wellness and fostering an inclusive environment where all employees feel valued and respected
- Culture of giving back to our communities through charitable activities**Job Description**:
OVERVIEW OF ROLE

_brokers/_agents/administrators and insurance agents).

KEY RESPONSIBILITIES-
- Managing a caseload of complaints and systemic issues that includes assessing the severity of each case, prioritizing as required, communicating with parties involved, and preparing accurate and timely case reports of inquiry/complaint follow-up and resolution, including the issuance of compliance letters as warranted.- Monitoring regulated industry conduct and activities to proactively identify potential negative or unfair business practices, and to highlight conduct issues that may contribute to systemic trends that impact consumer protection and the financial services industry.-
- Providing input to market conduct procedures, processes and standards, and to new or proposed revisions to legislation and policies.- Conducting research, fact-finding inquiries and analysis to prepare identified files for referral to FSRA’s Case Management Committee to escalate enforcement action, or to assist with examinations for specific compliance concerns.

QUALIFICATIONS

Specialized Knowledge and Experience- Proven knowledge and experience in a relevant regulated financial services sector.- Knowledge of compliance standards for insurance or lending institution activities.- Understanding of conduct analysis, risk-based theories and principles.- Well versed in policy/legislation interpretation for Acts and regulation administered by FSRA relevant to your sector of expertise, for example the Mortgage Brokerage, Lenders and Administrators Act.- Knowledge of regulatory tools such as progressive discipline, remediation plans and warning letters.- Proficient in mediation, persuasive, or conflict management techniques to facilitate the resolution of complaints.- Understanding of accounting and internal audit principles and practices including financial analysis for the review and assessment of financial and business records, statements and processes, is an asset.- Knowledge of research and analytical techniques and methods to gather information, conduct research; interpret data and prepare findings.**Skills**:
- Excellent oral and written communication skills to interact with consumers, prepare compliance letters and draft executive correspondence.- Advanced analytical and problem solving skills to interpret findings, assess the nature and seriousness of identified issues, facilitate and mediate solutions.- Ability to manage a caseload of varied complexity within stated timelines.- Relationship management and interpersonal skills to promote resolution of complaints.- Research, information gathering, and analytical skills using a broad range of sources.- Excellent team membership skills to work cooperatively and collaboratively with colleagues.

NOTE : The Job Posting will be closed on MAY-16-2023.

Job Posting End Date:
05/16/2023

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

Compensation Grade:
Grade 228-OPSEU ADM

Compensation Range:
$1,346.59

$1,723.34

Bargaining Unit:
OPSEU

Job Code:
Job Code: 20207

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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