Download Individual Registration Officer Permanent | Full time Compliance and

Individual Registration Officer
Permanent | Full time
Compliance and Registrant Regulation Branch
File #16-58
The Ontario Securities Commission (OSC) administers and enforces securities law in the
province of Ontario. Its mandate is to provide protection to investors from unfair, improper
and fraudulent practices, and foster fair and efficient capital markets and confidence in
capital markets. This mandate is performed through policy, operational, adjudication and
enforcement work. The OSC also contributes to national and global securities regulation
development. We offer a diverse, fair and flexible work environment, and take pride in our
challenging and rewarding work. Employment at the OSC involves contributing to a clear
strategic direction in an attractive, modern, high performing workplace.
The Compliance and Registrant Regulation (CRR) Branch oversees the dealers,
advisers and investment fund managers that the public relies upon when investing in
securities. Using a risk-based approach, CRR focuses on initial and ongoing registration and
compliance reviews of registrants. CRR also develops significant policy/legislative initiatives
affecting registered firms and individuals, at both the Ontario and national levels. The
branch consists of integrated, multi-disciplinary teams including professional staff
(chartered accountants and lawyers), registration officers (corporate and individual), and
support staff.
Reporting to the Supervisor, the Individual Registration Officer (IRO) will analyze and
recommend granting, refusing or suspending the registration of dealing representatives.
You will be responsible for determining initial and ongoing suitability for registration by
investigating and taking into consideration proficiency, integrity, financial soundness,
conflicts of interest, criminal charges, and any complaints or investigations.
You bring to this role a good understanding of the securities and investment industry and/or
a background in financial or legal services. You are a proactive contributor with welldeveloped interpersonal, judgment, analytical, investigative, and communication skills. You
have an undergraduate degree or 3-year community college diploma in a relevant discipline
and have completed industry-related courses. Your related work experience in the capital
markets industry and knowledge of registration matters will aid you when providing
guidance to the public regarding registration requirements and processes through written
and verbal communication.
Grow your career and make a difference working at the OSC.
Apply online (https://www.osc.gov.on.ca/en/About_careers_index.htm) by Tuesday,
October 11, 2016.
We thank all applicants for their interest in the Ontario Securities Commission. We will
contact those selected for an interview.
The OSC is committed to providing an inclusive workplace environment that meets the
accessibility needs of employees with disabilities. Please go to Accessibility at the OSC to
review the OSC’s policies on accessibility and accommodation in the workplace.