Technical Lead, Regulatory Compliance, Market Conduct

5 days ago

Toronto, Canada Financial Services Regulatory Authority of Ontario Full time

Description

:

PURPOSE OF POSITION
Accountable for the provision of technical expertise, analysis, and recommendations involving legislative and regulatory contravention and violations relating to the filing of Annual Information Returns, Audited Financial Statements, E&O Compliance, the issuance of SAMPS, suspensions, revocation orders, and the negotiation of resolutions and education for compliance related matters.

KEY RESPONSIBILITIES

Provides technical expertise in regulatory compliance requirements regarding the conduct of assigned regulated sectors (e.g., life insurance, P&C insurance, health services provider, mortgage brokerage and administration, loan and trust, pension, and credit union).

Actions compliance outcomes relating to AIR filing non-compliance, findings related to AFS reviews, E&O non-compliance and various statutory violations relating to regulated sectors.

Conducts ongoing holistic reviews of compliance issues related to filing requirements to assess how they are applied in various scenarios and to ensure consistency in application of the legislation.

Prepares statistics for industry publication and recommends regulatory amendments or guidance as appropriate.

Provides technical expertise and recommendations to the Senior Manager, Director, or Head on proposed regulatory action and issues related to repeat non-compliance.

Mentors and supports staff to identify, prepare and present cases to an internal vetting committee for escalation of compliance matters to Legal and Enforcement.

Participates in projects for the development and review of program and operational policies, procedures, processes and quality standards for the review, analysis and assessment of cases.

Participates on FSRA and regulatory committees and projects teams related to regulatory action, issues and trends.

Supports FSRA stakeholder consultations and outreach initiatives and presentations on regulatory policies and processes.

Provides reporting and trend analyses to the relevant sector manager(s), to support corporate reporting and to inform supervision and policy making.

Provides program/service expertise and advice to FSRA management and staff in response to operational or program issues impacting the achievement of department or sub-function directions; providing evidence-based recommendations for problem resolution and improvement to methods to deliver programs or services.

Works with colleagues in Market Conduct and Legal and Enforcement on strategies and processes that lead to regulatory or disciplinary outcomes and with Policy to provide evidence for input to policy and legislative changes.

QUALIFICATIONS
Education and Experience

University degree in law, accounting, finance, commerce, business administration, public policy or equivalent.

Minimum 5 years of industry experience in one or more of the regulated sectors (e.g., life insurance, P&C insurance, health service provider, mortgage brokerage and administration, loan and trust (cooperatives and credit unions) with expertise in regulatory compliance and enforcement.

Proven experience in the interpretation and application of regulatory requirements of one of FSRA’s regulated sectors.

Knowledge and Skills

Demonstrated audit or compliance skills, and experience with risk-based auditing methodology.

Demonstrated leadership and project management skills to provide technical advice and guidance to address compliance cases.

Proven analytical, problem-solving and negotiation skills to provide senior advisory and support negotiation on complex compliance or regulatory issues.

Proven verbal and presentation skills to provide information and advisory services to Market Conduct management and staff, other FSRA divisions (including Policy and Enforcement) and external stakeholders and conduct staff training programs.

Proven written communication skills to prepare technical reports, external correspondence, project plans/reports and policy recommendations.

Job Posting End Date:

07/15/2024

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

Compensation Grade:

Grade 07-AMAPCEO

Compensation Range:

$80,595.00

-

$117,142.00

Bargaining Unit:

AMAPCEO

Job Code:

Job Code: 7A001F

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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