Business Unit
Regular, Full time
Closing Date: September 17, 2026
The Registration, Inspections & Examinations (RIE) division is currently looking for a CPA to join the team to conduct risk based reviews of market participants in the securities industry.
RIE oversees dealers, advisers, investment fund managers, derivative firms and other market participants that the public relies on when investing in securities. Using a risk-based approach, RIE is responsible for the registration and compliance reviews of registered firms.
RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff.
This role requires you to:
• Champion investor protection and confidence in the capital markets: Conduct reviews of registered firms and regulated entities to assess compliance with Ontario securities laws.
• 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
Qualifications:
We are looking for a candidate with an inquiring mind and a passion for the capital markets that has:
• 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
• Demonstrated ability to establish collaborative working relationships and engage with internal and external stakeholders
• Demonstrated ability to balance regulatory objectives with practical business considerations
Please note this opportunity is considered to be a business critical role supporting the Registration, Inspections and Examinations Division.
Grow your career and make a difference working at the OSC.
* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
