Compliance Officer

3 weeks ago

Mississauga, Ontario, Canada Travel Industry Council of Ontario Full time
Job Title: Compliance Officer

We are seeking a highly skilled Compliance Officer to join our team at the Travel Industry Council of Ontario. As a Compliance Officer, you will play a critical role in ensuring that our registrants comply with the Travel Industry Act, 2002 and Ontario Regulation 26/05.

Job Purpose:

The primary responsibility of this role is to provide information, guidance, and advice to stakeholders on various compliance matters related to the Ontario Travel Industry Act, 2002 and Ontario Regulation 26/05. You will also conduct on-site inspections and compliance reviews to ensure that our registrants are in compliance with the Act and Regulation.

Key Responsibilities:
  • Perform financial statement bench reviews to ensure compliance with the Travel Industry Act, 2002 and Ontario Regulation 26/05.
  • Plan and conduct on-site inspections and/or compliance reviews of TICO registrants throughout Ontario.
  • Examine all information and supporting documentation against the requirements of the Travel Industry Act, 2002 and Ontario 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.
  • Prepare Inspection Findings Reports summarizing all compliance issues, including contraventions of the Act and Regulation revealed during site inspections.
  • Prepare written correspondence to registrants in a professional and timely manner to address issues of non-compliance.
  • 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.
  • 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 traveling 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.
  • 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.
  • Assist with special projects and initiatives, as needed.
Requirements:
  • Experience in conducting on-site inspections and/or audits involving financial and operational compliance.
  • Post-graduate practical experience as an inspector, auditor, or equivalent role.
  • Knowledge of financial accounting principles, internal controls, and operational compliance acquired through an associated degree/diploma program.
  • Excellent command of the English language, both verbally and in writing.
  • Willing to travel for on-site inspections in the Province of Ontario.
  • 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.
Working Conditions:

The working conditions and physical demands blend a typical office setting with the flexibility of a hybrid work-from-home arrangement and may include extended periods of sitting and/or standing.

Reporting Structure:

The position will report to the Manager, Compliance and Complaints.

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