CPA Accountant

Registration, Inspections & Examinations (RIE) division

Permanent, Full-time

File # JR100380

Who We Are

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. 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.

The Opportunity

The Registration, Inspections & Examinations (RIE) division is currently looking for a CPA to join the team to conduct risk-based reviews of market participants in the securities industry. 

RIE oversees dealers, advisers, investment fund managers, derivative firms and other market participants that the public relies on when investing in securities. Using a risk-based approach, RIE is responsible for the registration and compliance reviews of registered firms. 

RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff. 

Key Duties and Responsibilities

• Champion investor protection and confidence in the capital markets

-Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.

• Formulate corrective actions

-Prepare formal reports detailing non-compliance with securities laws and internal control weaknesses.

-Work with registered firms and regulated entities to determine what corrective action is required and assess the appropriateness of corrective actions. 

• Engage with stakeholders

-Find practical and balanced solutions to address non-compliance with securities laws.

-Make recommendations for further regulatory action in appropriate circumstances. 

-Adapt regulatory principles to industry trends and emerging issues. 

What do you need to be successful in this role?

• Membership in good standing with CPA Ontario.
• 3-5 years of audit and assurance experience post-CPA, preferably from working in the securities, capital markets, investment management, or financial services.
• Demonstrated ability to show creativity, achieve results and 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. 

Grow your career and make a difference working at the OSC.

 To apply, please visit the careers page of our website at https://osc.wd3.myworkdayjobs.com/OSCCareers and submit an application no later than December 12, 2024 EST.

 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 diversity and providing an inclusive workplace. 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 LGBTQ2S community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations: BlackNorth Initiative < https://blacknorth.ca/> Canadian Centre for Diversity and Inclusion < https://ccdi.ca/> , and Pride at Work Canada <https://prideatwork.ca/ >.

 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 < https://www.osc.ca/en/accessibility-osc > to review the OSC’s policies on

accessibility and accommodation in the workplace.