Compliance Accountants - Regulatory Examinations

Job summary

Conduct risk-based reviews of market participants to assess compliance with Ontario securities laws. Formulate corrective actions, prepare formal reports on non-compliance, and engage with stakeholders to address regulatory issues.

Job details

Conduct risk-based reviews of market participants to assess compliance with Ontario securities laws. Formulate corrective actions, prepare formal reports on non-compliance, and engage with stakeholders to address regulatory issues. Requires membership in good standing with CPA Ontario and a minimum of 1 year of post-CPA audit and assurance experience. Candidates should have experience at an audit and assurance firm and the ability to effectively communicate with internal and external stakeholders.

What you’ll do

Conduct risk-based reviews of market participants to assess compliance with Ontario securities laws. Formulate corrective actions, prepare formal reports on non-compliance, and engage with stakeholders to address regulatory issues.

Requirements

Requires membership in good standing with CPA Ontario and a minimum of 1 year of post-CPA audit and assurance experience. Candidates should have experience at an audit and assurance firm and the ability to effectively communicate with internal and external stakeholders.

Benefits

• Diverse work environment
• Flexible work environment

Listed skills

• Regulatory Compliance · Preferred
• Collaboration · Preferred
• Communication · Preferred
• Assurance · Preferred
• Audit · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Audit
• Assurance
• Regulatory compliance
• Risk-based reviews
• Financial services
• Investment management
• Securities law
• Internal controls
• Stakeholder engagement
• Report writing
• Analytical thinking
• Communication
• Collaboration

Job areas

• Finance & Accounting
• Government & Public Sector
• Legal
• Management & Leadership

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