Financial Compliance Officer

4 months ago

Mississauga, Canada Travel Industry Council of Ontario Full time

Formed in 1997, the Travel Industry Council of Ontario (TICO) regulates Ontario’s travel agencies, booking websites and tour operators. TICO administers the Travel Industry Act, 2002 on behalf of the Ontario government.

As a consumer protection organization, TICO facilitates a consumer complaints process and administers the Ontario Travel Industry Compensation Fund. By booking travel with a TICO registered company, consumers have access to added protection.

At TICO, we are an organization that embraces inclusion and fairness. We are committed to fostering a culture of inclusivity, equity, and accessibility for all. As a team, we celebrate diversity in all its forms, while encouraging individual growth and innovation, because we feel it makes for an inspiring workplace where people are empowered and engaged.

**Job Purpose**

A Compliance Officer provides information, guidance and advice to stakeholders pertaining to various compliance matters as they relate to the Ontario Travel Industry Act, 2002 and Ontario Regulation 26/05. Compliance Officers are also Inspectors, designated by the Registrar, Travel Industry Act, 2002 and as such are involved with conducting on site inspections and compliance reviews for the purpose of examining, researching and documenting cases of identified registrant conduct of operating in contravention of the Act and the Regulation.

**Key Competencies**

The individual must be a self-motivated individual with great interpersonal skills and will also possess:
**Communications** - Excellent communication skills, both written and verbal. The ability to convey information clearly, effectively and in a professional manner.

**Teamwork** - Ability to work collaboratively in a respectful and considerate manner that supports a cohesive and positive work environment consistent with the values of the organization.

**Service Excellence** - Ability to identify and understand stakeholder issues and be responsive in a timely and professional manner by providing information and/or solutions to stakeholders’ issues or concerns.

**Accountability**: Ability to work efficiently and effectively by achieving deliverables within established time frames by adhering to procedures and by being responsible for ones actions.

**Innovation** - Demonstrates a proactive approach to recommend and/or embrace new ideas, methods or solutions for progress and advancement of the organization.

**Functional Expertise** - Embodies the required knowledge and experience to successfully perform and achieve objectives in an efficient and professional manner.

**Duties and Responsibilities**
- 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

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