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Financial Services Commission

Team Lead, Market Risk Assessment


Posted Jan 151556208

Job Description

The Financial Services Commission of Ontario (FSCO) requires an experienced team leader and problem solver with expertise in market conduct risk assessment operations in a financial service regulatory environment. Consider this challenging opportunity to provide operational leadership for the delivery of financial service regulatory compliance and risk management services to safeguard and protect consumers, and to ensure a viable and functional financial service market place in Ontario.

What can I expect to do in this role?

As the Team Lead, Market Risk Assessment, you will:
• provide technical leadership, guidance and training to unit staff related to the research, review, analysis, risk assessment and resolution of complex inquiries, complaints or allegations of market conduct negligence/abuse by financial service institutions, companies and intermediaries within all financial service sectors regulated by the FSCO;
• review case reports of inquiry/complaint follow-up/resolution as prepared by unit Compliance Officers for quality assurance purposes and to ensure sound methodology, analysis, results, and actions; and recommend further compliance, legal and/or enforcement follow-up action as required to the Senior Manager, Market Risk Assessment Unit or Director;
• provide expert advisory services to branch/division/FSCO senior management on market conduct issues/trends resulting from the inquiry/complaints process;
• lead/conduct projects for the development, review and implementation of market conduct compliance policies, procedures, processes, and systems;
• lead the provision of technical advice, guidance and consultation services to FSCO stakeholders (e.g. financial institutions, intermediaries, associations) related to the interpretation and application of FSCO market conduct legislated requirements and standards, and to resolve market conduct issues.

Location: Toronto

How do I qualify?

Superior technical knowledge/skills in the principles and practices of market conduct assessment, risk-based regulatory compliance review, and issues resolution:

You have:
• proven knowledge of market risk assessment principles, practices and regulatory tools and techniques;
• demonstrated experience in a leadership role related to the conducting of detailed business analysis, market conduct reviews and issues resolution within a financial services environment;
• demonstrated experience and ability to interpret and apply the provisions of legislation, regulations and policies related to the regulation of financial services industries and intermediaries;
• knowledge of and/or extensive working experience related to financial service sectors/industries that are regulated by FSCO in Ontario;
• proven knowledge of the operations, products and practices of regulated sector financial institutions, and intermediaries in Ontario;
• knowledge of current developments in national and international financial services regulatory standards.

Superior organizational/coordination, team leadership and project management skills:

You have:
• proven organizational and operational coordination skills with proven experience to effectively plan, prioritize and control unit services/projects, and ensure the delivery of quality/timely unit services;
• proven team leadership skills to provide effective direction, guidance, training and support to unit staff;
• proven ability to develop and implement resource materials and tools to support staff in the delivery of their responsibilities;
• demonstrated project management skills to lead projects for the development of unit procedures and processes and to manage deadlines and competing priorities.

Extensive knowledge and leadership experience in customer service operations, and superior communication, negotiation and issues management skills:

You have:
• proven knowledge of customer service principles, practices and standards, and demonstrated leadership experience in the delivery of a customer service operation;
• demonstrated verbal communication skills to provide training, direction and guidance to staff, and provide business expertise to other FSCO branches;
• proven negotiation skills and the ability to resolve complex complaints and issues;
• demonstrated written communication skills with extensive experience in the preparation of reports, briefings and policy recommendations.

Salary Range: $70,538 - $103,944 per year

Additional information:

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


Please apply online, only, at, quoting Job ID 116550, by Monday, January 29, 2018. 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