Lead Inquiries Officer

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Position Overview

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Job Description

Inquiries and Contact Centre, Regulatory Strategy and Research Branch

12-month contract, with possible extension

File #22-36

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.

The Regulatory Strategy and Research Branch is responsible for the delivery of economic, regulatory and financial research and analysis that supports the development of OSC regulatory strategy and policy recommendations. The branch advises on, and informs, the OSC’s strategy, priorities, regulatory operations decisions and discussions with other regulatory bodies and agencies concerned with financial stability. The branch also supports both investors and market participants through the Inquiries and Contact Centre.

The Lead Inquiries Officer provides securities regulation expertise, support and high-quality service in the management of all incoming and outgoing correspondence with investors and market participants as it relates to Ontario Securities Law.

What will you do?

·         Act as a subject matter expert to provide professional and effective support to market participants and investors, as it relates to requirements of Ontario securities law

·         Effectively respond to all inquiries and complaints from market participants and investors, with accuracy and within OSC service standards

·         Identify, analyze and refer potential regulatory concerns and recommend suitable action for Commission staff to review

·         Respond and prepare written correspondence to both Market Participants and Investors on topics such as: registration requirements, regulatory filings, reporting/non-reporting issuer obligations, complaint process, unregistered trading activities, roles of SROs, OSC proceedings, and distribution of securities

·         Seek additional relevant information through internal records and databases of the regulatory branches, and national systems, such as NRD, SEDI, and SEDAR

·         Work collaboratively within the team to monitor all intake channels, including general inquiries email box and voicemail box to respond to all inquiries and complains, on a rotational basis

·         Support maintenance and updating of internal reference material through providing feedback and input to reflect recent changes to securities regulation and internal processes

·         Proactively identify trends and emerging issues for consideration, and provide ongoing recommendations to improve unit operations.

What do you need to succeed?

·         A minimum of 3 years of progressive experience in a corporate environment, call centre or contact centre, preferably in financial services, a law firm, or a regulatory authority

·         Degree or diploma, preferably with a focus in Law, Finance, and/or Business, or equivalent experience

·         Demonstrated effective written and verbal communication skills and strong interpersonal skills, with a keen ability to clearly explain legal and policy concepts

·         Excellent research, analytical and problem-solving skills, with a deep focus on attention to detail

·         Experience working with a regulatory agency is an asset

·         Knowledge of legal administration practices and procedures would be an asset

·         French fluency/bilingualism, both written and verbal, is an asset

·         Completion of the Canadian Securities Course or other industry-related courses is an asset

What’s in it for you?

·         Opportunity to make a difference, assist market participants and help protect investors from future harm

·         Work in a dynamic and challenging work environment with a collaborative, progressive and high-performing team

·         Leaders who support your development through coaching and managing opportunities

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

Apply online at https://www.osc.ca/en/about-us/careers-osc by Monday, July 25, 2022.

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

Inclusion and Diversity at the OSC

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/ >.

Accommodation

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.

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