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About the Role
FSRA is a financial services regulator focused on ensuring financial safety, fairness, and choice for Ontarians. This role provides advisory and consultation services to clients to facilitate compliance with licensing application submissions and analyzes submissions to recommend approvals.
Responsibilities
- Provide advisory and consultation services to corporate/individual client registrants/licensees to facilitate compliance with legislated requirements for licensing application submissions.
- Analyze and recommend approvals for registration/licenses and prepare briefings, due diligence memos, and delegation of authority documents for Senior Managers.
- Conduct issues and suitability analysis, lead consultation processes, and research/analyze issues related to approval, withdrawal, refusal, or conditions for licensees.
- Provide licensing requirements advice and technical knowledge to approve or refuse Corporate and Intermediary license applications.
- Offer technical and business advice to financial institutions, organizations, groups, and individuals regarding licensing activities and business operations of registrants/licensees.
- Review client business plans and provide advice and support on strategic objectives and business policies and practices.
- Provide information and advisory services on the interpretation and application of legislation, regulations, policies, and standards for complex licensing and registration applications.
- Coordinate consultation processes with registrants/licensees, stakeholders, and other jurisdictions.
- Conduct analysis and develop recommendations for senior management regarding submissions made to FSRA.
- Review and analyze documents and recommend approvals for product statutory approvals.
- Review prospectuses, ensure disclosure elements are provided, identify key product elements, ensure products meet legislated requirements, and obtain legal opinions.
- Support the team with training and act as a subject matter expert.
- Review, analyze, and assess applications from licensed corporations for Orders-in-Council and Ministry/Superintendent petitions and consents.
- Prepare reports with recommendations for approval/denial or the necessity for a hearing.
- Conduct research and analysis related to legislation, policy issues, financial licensing, registration, and enforcement issues, trends, and developments.
- Prepare FSRA submissions to senior managers or the corporate governance committee for escalation of license refusals.
- Review licensing and registration procedures, methods, systems, and processes.
- Develop, recommend, and lead project teams for the implementation of new initiatives or revisions to current procedures.
- Lead or participate on various committees and project teams.
- Act in a senior position during the absence of the technical lead/manager.
- Support the Technical Lead as needed.
Requirements
- 3-5 years of related experience preferably in regulatory licensing and approvals.
- Experience with licensing and registration procedures and contract law to assess client eligibility and make recommendations for approval.
- Experience and understanding of regulatory bodies, provincial or federal.
- Ability to learn relevant legislation for decision making.
- Knowledge of Government policy development processes.
- Knowledge of FSRA's legislation, mandate, current issues, and trends relating to licensing.
- Knowledge of business operations and planning methods/practices of client organizations and individual registrants/licensees.
- Project management and planning skills.
- Analytical and research practices to review policy issues and prepare recommendations.
- Knowledge of Freedom of Information and Protection of Privacy Act.
- Oral and written communication skills.
- Computer skills for research, report preparation, and database application use.
Skills
- Licensing Requirements Advice
- Technical Knowledge
- Business Advice
- Client Consultation
- Business Plan Review
- Legislation Interpretation
- Policy Analysis
- Product Analysis
- Statutory Approvals
- Prospectus Review
- Legal Opinion Acquisition
- Training Support
- Subject Matter Expertise
- Order-in-Council Application Assessment
- Ministry/Superintendent Petition Assessment
- Policy Research
- Process Improvement
- Project Management
- Committee Participation
- Analytical Skills
- Research Skills
- Communication Skills
- Computer Skills
Location
- Ontario
Work Type
- Full-time
- Regular
Experience Level
- 3-5 years related experience
Salary/Compensations
- $86,379.00 - $127,288.00
Benefits
- Employer-matched defined benefit pension plan
- Comprehensive and competitive benefits plan
- Prioritization of learning and development
- Prioritization of wellbeing
- Prioritization of diversity, equity, inclusion, and belonging
- Prioritization of community giving
About the Company
- FSRA's vision is to ensure financial safety, fairness, and choice for Ontarians.
- FSRA is a financial services regulator passionate about protecting consumers.
- FSRA utilizes a principles-based approach for quick and effective response to changing consumer and industry needs.
- The team combines industry expertise with a commitment to public service.
- FSRA attracts individuals interested in meaningful work and measuring success through outcomes.
- FSRA invests in the personal and professional growth of its team.
Equal Opportunity
- FSRA is committed to ensuring equity in employment.
- The goal is to create a diverse, inclusive workforce that reflects the communities served.
- Services and communications are accessible to all individuals.
- Accommodation is available under the Ontario Human Rights Code.