MANAGER, MARKET CONDUCT COMPLIANCE

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The Financial Services Commission of Ontario (FSCO) seeks proven leaders in the regulatory or financial service environment to manage the delivery of market conduct compliance and risk management operations for all financial service sectors in Ontario that are regulated by FSCO, to safeguard and protect consumers, and to ensure a viable and functional financial service market place in Ontario. Consider this opportunity to join a dedicated senior management team in a fast paced environment.

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About the job

• lead and oversee the planning and management of compliance teams responsible for the delivery of market conduct and prudential examination, review, and audit projects;
• review compliance risk assessment operations and project results, and authorize notifications to financial institution officials and intermediaries of findings and compliance requirements;
• authorize regulatory enforcement action within legislative authority;
• manage the provision of technical advisory and consultation services to stakeholder sectors on the interpretation and application of FSCO legislation and compliance requirements;
• lead the development and management of partnership relationships with all financial service sectors in Ontario, to consult on regulatory matters that impact sector operations;
• lead the assessment of market conduct risks, impacts and issues, and the provision of strategic advice and issues management strategies/solutions to the Director, Executive Director and CEO/Superintendent;
• lead/manage research projects for compliance program development and implementation;
• participate as a member of the branch/division management team, and act for the Director, Market Regulation Branch as assigned;
• lead division, FSCO, inter-ministry and sector committees and project teams.

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What you bring to the team

Experience within the financial service sectors in Ontario:

• proven knowledge/experience related to business operations, product development, the distribution of financial products/services, or risk management primarily within FSCO regulated sectors. Experience working with financial services intermediaries.

Knowledge in a financial services environment:

• proven comprehensive knowledge and expertise related to market conduct, compliance and governance principles or;
• proven excellent knowledge or accounting or audit theory, principles, and methods, practices and within financial service sectors; or
• proven excellent knowledge of risk management or internal audit theory, principles, methods and practices. Knowledge of risk-based regulatory techniques.

Strategic orientation, leadership and management skills:

• strategic orientation with proven excellent leadership skills;
• demonstrated operational management skills and experience in planning, leading and managing the delivery of financial services or audit, compliance or regulatory operations.
• proven excellent human resources management skills to effectively lead and manage a staff team.
• Experience working in a union environment.

Analytical, decision making, issues management, and project management skills:

• proven excellent analytical skills to identify significant issues which impact the organization, and to develop and implement effective solutions;
• proven excellent risk assessment and decision-making skills to authorize notifications and regulatory enforcement actions;
• proven project management skills to lead program/process development projects and to manage deadlines and competing priorities

Relationship development/management, communication and consultation skills:

• demonstrated relationship development/management skills to represent the government/FSCO with licenees and officials in all regulated financial service sectors;
• demonstrated superior verbal communication and presentation skills to provide compliance and regulatory expertise, advice and briefings to stakeholders, senior management and the CEO/Superintendent;
• demonstrated superior written communication skills to produce team service plans/standards, technical analytical reports, policy/procedure recommendations, issue briefings, and project plans/reports.

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Additional information:

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Language requirements and assessment:
All external Ontario Public Service (OPS) job ads are posted in English and French. Check the "position(s) language" section at the top of each job ad for the language requirements. For all roles, candidates are assessed in English, the business language of the OPS. If the position is bilingual (English/French), you'll also need to pass a French-language proficiency test.

Exigences en matière de langue et évaluation:
Toutes les offres d'emploi externes de la fonction publique de l'Ontario (FPO) sont affichées en français et en anglais. Consultez la section « Langue du ou des postes » en haut de chaque offre d'emploi pour connaître les exigences linguistiques. Pour tous les postes, les candidats sont évalués en anglais, la langue d'affaires de la FPO. Si le poste est bilingue (anglais/français), vous devrez également passer un test de compétences linguistiques en français.

All external applicants (including former employees of the Ontario Public Service) applying to a competition in a ministry or Commission public body must disclose (either in the cover letter or resume) previous employment with the Ontario Public Service. Disclosure must include positions held, dates of employment and any active restrictions as applicable from being rehired by the Ontario Public Service. Active restrictions can include time and/or ministry-specific restrictions currently in force, and may preclude a former employee from being offered a position with the Ontario Public Service for a specific time period (e.g. one year), or from being offered a position with a specific ministry (either for a pre-determined time period or indefinitely). The circumstances around an employee's exit will be considered prior to an offer of employment.

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