Vice President, Investor Office

THE COMPANY

Founded in 1932 with roughly 700 employees, The Ontario Securities Commission (OSC) is an independent Crown agency that regulates Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to 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

As capital markets rapidly evolve, regulators face fresh challenges driven by shifts in investor behaviour, technological innovation, demographics, and economic conditions. Recognizing the need to adapt and lead in this dynamic environment, the OSC has developed a new Strategic Plan that will be its roadmap for the next six years.

As an enabling driver to deliver on the new Strategic Plan, the OSC has undertaken an organizational realignment and restructuring. Among other significant organizational changes, this has resulted in the creation of a new C-level pillar, Strategic Regulation , focused on the future of securities regulation in the province, along with a reimagining of the role of VP Investor Office .

Under the leadership of the new VP Investor Office , the Investor Office team will bring fresh thinking, a creative and forward-looking approach, and a high degree of responsiveness to the critical work that Strategic Regulation is undertaking in delivering on its mandate to deeply understand and support the needs of individual investors, now and as capital markets evolve in the future. With a greater focus on proactive engagement, investor segmentation, and using data to interpret needs and inform policy decisions, the VP Investor Office will operate expediently and independently on matters within its purview. Investor segmentation analysis, engagement and outreach, education, communication, collaboration and change management lie at the heart of how this new leader and the Investor Office will succeed.

THE POSITION

The VP Investor Office is an experienced and strategic leader who advances the OSC’s core objectives of investor protection and enhancing the experience of individual investors in Ontario’s capital markets. The VP will develop, implement, and maintain a set of programs and processes that focus on investor interests and work to ensure those interests are appropriately considered in OSC policy development and operational programs. The VP will also oversee the operations of the OSC’s Inquiries and Contact Centre.

The VP will function as the internal investor champion and will work to advance the knowledge collected and the insights offered from various OSC interactions with investors. The VP will also build relationships with external stakeholders involved in investor issues and will be a focal point for investor contact. The VP reports to the EVP Strategic Regulation and their key responsibilities will be to:

Be A Strategic Leader

• Through a multi-disciplinary team, bring investor perspectives, needs and priorities to OSC regulatory policy and operational work;
• Develop frameworks to identify and deeply understand different investor segments and needs and make recommendations to address those needs;
• Develop and deliver investor education content through various media and outreach programs;
• Act as key support and liaison to OSC Investor Advisory Panel
• Identify opportunities for investor-focused research and work with the VP, Research on the design and execution of qualitative and quantitative research to obtain a better understanding of investor issues and needs;
• Ensure OSC’s Inquiries and Contact Centre is supported to provide high quality, timely responses to investor complaints and inquiries, make referrals to Enforcement and identify issues and trends from contacts;
• Develop performance measures to assess the impact of the programs and processes that are intended to improve the investor experience, and make necessary adjustments if needed;
• As a member of the OSC Senior Leadership Team, contribute effectively to discussions of organization-wide issues and provide strategic and thoughtful views and advice to the EVP, Strategic Regulation and to the CEO;

Develop and Maintain Strong External Stakeholder Relationships

• Develop and maintain strong relationships with other regulatory and governmental agencies both domestically and globally;
• Identify, develop and manage external outreach opportunities and partnerships with external investor focused associations, organizations, advocates, academics, universities/colleges;
• Identify and advance partnership opportunities to support enhancing the investor experience;

Be an Effective Team Manager

• Lead and motivate a multi-disciplinary team providing guidance, advice, coaching and mentoring to achieve success;
• 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;
• Enhance the team’s effectiveness by recognizing and making the best use of diverse skills, experiences, abilities and talents that each employee brings to the team to achieve goals and ensure effective succession management;

Be a Collaborative Partner with other OSC Teams and other Regulatory Partners

• Engage regularly and productively within the Strategic Regulation team, broadly across the OSC, and with external stakeholders to collaborate on projects and initiatives, and to communicate and share ideas and updates;
• Take an integrated approach with others when addressing mutual or interdependent issues/concerns;
• Actively participate in developing and implementing organizational solutions for the common good of the OSC;
• Willingly share resources to aid cross-functional work and build synergies across the organization.

SUCCESS CRITERIA

We will know the candidate is successful in the role if, after 12 months, they have:

• Completed an investor segmentation framework to support deeper analysis of individual investor needs and opportunities and begun to make recommendations to address those needs.
• Brought investor perspectives, needs and priorities to OSC regulatory policy and operational work.
• Begun to focus more on measuring the success and impacts of Investor Office programs.

IDEAL CANDIDATE

A strategic, executive-style leader who brings a high level of business judgment, decision making, problem-solving ability and communication skills – both interpersonal and written who thrives in a dynamic environment of continually shifting priorities with multiple deadlines.

Experience & Professional Qualifications:

• Held an executive role in the capital markets / finance sector – ideally gaining a deep knowledge of securities issues that impact investors;
• Championed stakeholder interests – ideally in a complex environment of publicly visible internal and external stakeholders. Proven success influencing, collaborating, mediating, facilitating and achieving balance where diverse views and interests prevail;
• Developed or influenced public policy and regulatory initiatives – it would be an asset to have an analytical / research perspective on capital markets policy;
• Built a department or organization – has demonstrated exceptional initiative in designing and launching an organization or program, particularly in a situation involving significant ambiguity;
• Led departmental operations – has built and implemented a business unit’s vision, strategy, business plan, budget, systems, processes and communications plan. Has managed business operations and led a management team to success.
• LL.B, CPA, MBA or an equivalent post-graduate degree in a relevant field of study or a relevant undergraduate degree.

CONTACT INFORMATION

If you are interested in learning more about this exciting opportunity or wish to submit your application, please contact Lindsay Millard, Senior Consultant The closing date for applications is October 13, 2024.

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is a priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations: Ascend Canada , BlackNorth Initiative , Canadian Centre for Diversity and Inclusion , and Pride at Work Canada

If you require an accommodation during the recruitment process, please let reach out to

Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.

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