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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. This role champions investor protection and confidence in capital markets by assessing compliance, formulating corrective actions, and engaging with stakeholders.

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 and regulated entities to determine and assess corrective actions.
Find practical and balanced solutions to address non-compliance with securities laws.
Make recommendations for further 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
Regulatory principles

Location

Ontario

Work Type

Regular
Full-time

Experience Level

Minimum 1 year of audit and assurance experience post CPA

Education Level

About the Company

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets.
The OSC's mandate is to provide protection to investors, foster fair and efficient capital markets, foster capital formation, and contribute 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.
RIE conducts registration and compliance reviews of registered firms using a risk-based approach.
RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff.

Equal Opportunity

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 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 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 us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.
Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.