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Financial Services Commission of Ontario

Regulatory Discipline Officer



Company Information


Job Description

Regulatory Discipline Officer

Do you demonstrate exceptional critical thinking skills? Do you have experience with enforcement methodologies and managing enforcement actions, including cost-benefit analysis? Then consider this key role with the Financial Services Commission of Ontario (FSCO) to provide senior-level technical expertise in the resolution of violations in the regulated financial service sectors.

What can I expect to do in this role?

You will:

- conduct comprehensive assessments of cases resulting from complaints, audits or compliance reviews for the purpose of identifying and taking enforcement action
- determine significance and risk level of potential violations, and refer selected cases for investigation and/or legal opinion to reflect the strategic direction
- determine and execute case management strategies and recommend enforcement courses of action
- guide the investigation and legal requirements in assigned enforcement cases
- provide expertise and training to management and staff
- conduct research and analysis on regulatory/enforcement activities, trends and issues
- lead projects for the development and review of enforcement policies, procedures, processes and quality standards
- manage the electronic case management system
- act as an expert witness and provide evidence in hearings and court cases

Note: this position requires travel to attend meetings and court proceedings.

Location: Toronto

How do I qualify?

Technical Skills and Knowledge:

- you have demonstrated experience in administrative law, regulatory enforcement methods/processes/strategies/jurisprudence, and legal proceedings
- you have experience coordinating formal investigation methods and enforcement activities
- you have experience in risk-based enforcement methodologies, including cost-benefit analysis
- you have knowledge of financial service sectors in Ontario
- you can understand government strategic policy direction, goals and objectives related to the compliance with and enforcement of legislation/regulations
- you have knowledge of financial instruments
- you have knowledge of case management principles, protocols, methodologies, tools, processes and standards
- you have knowledge of statistical reporting operations
- you are proficient with computers, including word processing and database software

Consultation and Communication Skills:

- you have experience in negotiation, persuasion and influencing to achieve buy-in to resolve potentially volatile/sensitive issues in enforcement actions
- you have experience preparing and presenting technical reports, documents, issue briefings, position papers, in support of decisions for cease and desist orders, applications under the Provincial Offences Act, matters before administrative tribunals, minutes of settlement and executive correspondence
- you have excellent communication, interpersonal and advisory skills to provide consultation to senior management and to participate in joint initiatives

Problem-Solving and Project Management Skills:

- you have analytical, decision-making, problem-solving and issues management skills to determine and assess complex issues, evaluate evidence, and make recommendations on enforcement strategies/actions
- you have proven project management and organizational skills
- you can manage changing priorities and conflicting work demands

Salary Range: $69,496 - $102,408 per year

Additional information:

  • 1 Permanent, 5160 Yonge St, Toronto, Toronto Region

Please apply online, only, by Friday, May 5, 2017, by visiting and entering Job ID 107084 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.

Contact Information

Financial Services Commission of Ontario
Posting Date: 21-Apr-2017Insurance Permanent, Full-Time Open 1 ASAP
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