Financial Services Commission of Ontario (FSCO) / Commission des services financiers de l'Ontario (CSFO)
March 5, 2018
Job Type
Contact Name
Human Resources


Senior Compliance Officer

The Financial Services Commission of Ontario (FSCO) is seeking individuals with exceptional operational experience, analytical skills, and sound knowledge of market conduct and financial analysis principles and methodologies to lead and participate in market conduct field examinations (audits), financial assessment and reviews of financial institutions and licensed intermediaries in order to assess consumer protection and legislative compliance in all sectors regulated by FSCO.


What can I expect to do in this role?

As a Senior Compliance Officer, you will:

  • Lead a compliance examination team and/or independently perform desk reviews or on-site market conduct examinations of financial service entities regulated by FSCO, which includes insurance (life & health, property & casualty), mortgage broking, pension plans, health service providers, credit unions and caisses populaires, cooperative corporations, and loan and trust companies;
  • Provide project management and team leadership on specific desk reviews or on-site market conduct examinations of financial service entities regulated by FSCO, ensuring work-plan objectives and timelines are met;
  • Provide information, technical advice and guidance to the public, financial institutions and intermediaries related to the interpretation and application of market conduct or prudential compliance requirements of FSCO legislation, regulations, policies and business standards in Ontario.


Location: North York


How do I qualify?

Financial Services Knowledge & Experience:

You have:

  • proven excellent knowledge of risk-based regulatory principles, standards and techniques within a financial services environment;
  • proven excellent knowledge and experience in performing detailed business analysis and financial analysis of financial service sectors/industries;
  • proven knowledge and experience in operations of financial service sectors/industries;
  • proven ability and experience in interpreting legislation and policies related to the regulation of FSCO-regulated financial service sectors/industries.


Knowledge & Experience in Audit, Risk Management and/or Regulatory Compliance Functions:

You have:

  • extensive knowledge and/or experience within an external or internal audit function, or similar role;
  • proven knowledge and experience in conducting audit, risk management and/or regulatory compliance methodologies, practices and/or procedures;
  • proven knowledge of and experience with risk-based methodology and the ability to apply this in a regulatory setting;
  • proven experience in conducting market conduct reviews, risk analysis and assessments.


Team Leadership, Project Management, Research, Analytical & Organizational Skills:

You have:

  • demonstrated ability to work independently or as part of cross-functional teams relating to different compliance and/or supervisory activities;
  • proven project management and team leadership skills in a compliance and/or examination setting, both when working independently and in a team environment;
  • demonstrated ability to multi-task and work on multiple projects and/or activities relating to different financial service sectors/categories;
  • proven superior research, investigative and assessment skills to research routine, unique and complex compliance issues, receive inquiries and in response gather related information/data from a broad range of sources;
  • proven skill/experience in analyzing information and preparing comprehensive case reports;
  • proven experience in making sound analytical assessments, decisions and recommendations;
  • proven organizational skills and the ability to make timely independent decisions in a high volume and fast paced work environment.


Communication, Judgement & Customer Service Skills:

You have:

  • demonstrated superior knowledge of and skills in effective oral and written communication principles and methods;
  • proven superior customer service and consultation skills with experience in effectively responding to inquiries from consumers, licensees, stakeholders and other parties;
  • proven skills in exercising excellent judgment, based on sound principles/facts;
  • demonstrated superior knowledge of writing and editing principles, practices, styles and techniques in preparing detailed analytical reports, briefing notes, complex correspondence and draft processes/procedures.


Salary Range: $1,366.82 - $1,754.98 per week


Additional information:

  • 3 Permanent, 5160 Yonge St, North York, Toronto Region
  • 2 Temporary, duration up to 12 months, 5160 Yonge St, North York, Toronto Region
  • 1 Temporary, duration up to 6 months, 5160 Yonge St, North York, Toronto Region


Please apply online, only, by Friday, March 23, 2018, by visiting and entering Job ID 120566 in the Job ID search field. Please follow the instructions to submit your application. Faxes are not being accepted at this time.

If you require accommodation in order to participate in the recruitment process, please contact us at to provide your contact information. Recruitment Services staff will contact you within 48 hours. Only those applicants selected for an interview will be contacted.

The Ontario Public Service is an inclusive employer. Accommodation will be provided in accordance with Ontario’s Human Rights Code.


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