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About the Role

The Registration, Inspections & Examinations (RIE) division is seeking a CPA to conduct risk-based reviews of market participants in the securities industry, championing investor protection and confidence in capital markets.

Responsibilities

• Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.
• Prepare formal reports detailing non-compliance and internal control weaknesses.
• Work with registered firms to determine and assess corrective actions.
• Find practical solutions to address non-compliance and make recommendations for regulatory action.
• Adapt regulatory principles to industry trends and emerging issues.

Requirements

• Membership in good standing with CPA Ontario.
• Minimum 1 year of audit and assurance experience post CPA.
• Experience at an audit and assurance firm.
• Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely.
• Demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders.
• Demonstrated ability to balance regulatory objectives with practical business considerations.

Skills

• Audit and assurance
• Investment management
• Financial services
• Communication
• Collaboration
• Stakeholder engagement

Location

• Ontario

Work Type

• Regular
• Full-time

Experience Level

• Minimum 1 year of audit and assurance experience post CPA

Education Level

• CPA

About the Company

• The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets.
• The OSC's mandate includes providing investor protection, fostering fair and efficient capital markets, and contributing to financial system stability.
• The OSC offers a diverse, fair, and flexible work environment.
• The Registration, Inspections & Examinations (RIE) division oversees dealers, advisers, investment fund managers, derivative firms, and other market participants.

Equal Opportunity

• The OSC is committed to diversity and providing an inclusive workplace.
• The OSC provides accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code.
• It is our 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 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 us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.