Compliance Accountant - Regulatory Examinations

Our client is a professional service provider. They are looking for a Compliance Accountant who will be responsible for conduct risk-based reviews of registered firms and other regulated market participants to assess compliance with the organization. The role identifies regulatory deficiencies and internal control weaknesses, prepares formal reports and recommends appropriate corrective actions. The successful candidate will engage with firms and internal stakeholders to evaluate practical responses to non-compliance and determine when further regulatory action may be warranted.

The position also requires applying regulatory principles to emerging market developments and balancing investor protection with sound commercial judgment.

• Opportunity to contribute directly to investor protection and confidence in Ontario capital markets.
• Defined benefit pension, employer-paid health and dental premiums, and generous paid time off.
• Exposure to varied regulated firms and complex securities compliance issues.

• Champion investor protection and confidence in the capital markets:
  Conduct reviews of registered firms and regulated entities to assess compliance within the organization.
• Formulate corrective actions: preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and work with registered firms and regulated entities to determine what corrective action is required and assess appropriateness of corrective actions
• Engage with stakeholders:
  Find practical and balanced solutions to address non-compliance with securities laws and make recommendations for further regulatory action in appropriate circumstances
• Adapt regulatory principles to industry trends and emerging issues

• Field Reviews of Market Participants
• Independently conduct operational field reviews of market participants and resolve routine issues.
• Identify and upscale complex, novel, unusual, or policy-related issues requiring senior guidance.

• Independently review prospectus filings, provide comments, and resolve accounting and financial reporting issues that are routine in nature.
• Identify and upscale novel, complex, policy-related, or broader regulatory concerns.
• Assess whether issuing a prospectus receipt is in the public interest.

• Independently conduct continuous disclosure reviews, provide comments, and resolve routine issues.
• Identify matters that may require restatements or involve policy implications and seek guidance from senior staff on their resolution.

• Partner with legal counsel to assess applications, determine whether exemptive relief is required, and assist in drafting orders and recommendation memoranda.
• Research and analyze precedents, applying or distinguishing them as appropriate.
• Coordinate and negotiate comments with other CSA staff.
• Handle routine and less complex applications, while referring applications with significant policy implications to senior staff.

• Assess and investigate potential breaches of securities law through research, evidence gathering, and analysis.
• Recommend appropriate next steps, including referral to Investigations or Litigation.
• Provide ongoing investigative, evidence-brief, and litigation support as part of multidisciplinary teams.

• Respond to inquiries from market participants, the public, auditors, and other stakeholders regarding accounting, auditing, and regulatory matters.
• Seek senior guidance on complex or policy-related issues.

• Contribute to policy initiatives and special projects by assuming responsibility for assigned work streams or subject matter areas.
• Participate as a team member rather than a project lead.

• Membership in good standing with CPA Ontario
• Minimum 1 year of audit and assurance experience post CPA
• Experience at an audit and assurance firm
• Experience in investment management or financial services an asset
• Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely

You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity.

$100,000 - $130,000/year