Job Description:PURPOSE OF POSITIONAs a member of the Market Conduct team, you will apply your knowledge and experience in one or more of
the FSRA regulated sectors to manage a caseload that involves analyzing and addressing consumer
complaints of misconduct or allegations of breaches involving business practices of financial service
institutions and intermediaries (such as mortgage brokers/agents/administrators and insurance agents).
KEY RESPONSIBILITIES- The primary responsibility of this role is the intake of consumer complaints and telephone or
- email inquiries from internal and external stakeholders, and responding to escalated
- inquiries.
- Managing a caseload of complaints and systemic issues that includes assessing the severity
- of each case, prioritizing as required, communicating with parties involved, and preparing
- accurate and timely case reports of inquiry/complaint follow-up and resolution, including the
- issuance of compliance letters as warranted.
- Monitoring regulated industry conduct and activities to proactively identify potential negative
- or unfair business practices, and to highlight conduct issues that may contribute to systemic
- trends that impact consumer protection and the financial services industry.
- Providing technical advice to financial institutions and intermediaries related to the
- interpretation and application of FSRA's compliance requirements and facilitating business
- practice solutions to resolve complaints.
- Providing input to market conduct procedures, processes and standards, and to new or
- proposed revisions to legislation and policies.
- Conducting research, fact-finding inquiries and analysis to prepare identified files for referral
- to FSRA's Case Management Committee to escalate enforcement action, or to assist with
- examinations for specific compliance concerns
QUALIFICATIONS Education and Experience- Proven knowledge and experience in a relevant regulated financial services sector
- Knowledge of compliance standards for insurance or lending institution activities
- Understanding of conduct analysis, risk-based theories and principles
- Well versed in policy/legislation interpretation for Acts and regulation administered by FSRA
- relevant to your sector of expertise, for example the Mortgage Brokerage, Lenders and
- Administrators Act
- Knowledge of regulatory tools such as progressive discipline, remediation plans and
- warning letters
- Proficient in mediation, persuasive, or conflict management techniques to facilitate the
- resolution of complaints
- Understanding of accounting and internal audit principles and practices including financial
- analysis for the review and assessment of financial and business records, statements and
- processes, is an asset
- Knowledge of research and analytical techniques and methods to gather information,
- conduct research; interpret data and prepare findings
- Strong knowledge and experience with various software applications
Knowledge and Skills- Excellent oral and written communication skills to interact with consumers, prepare compliance letters and draft executive correspondence.
- Advanced analytical and problem solving skills to interpret findings, assess the nature and seriousness of identified issues, facilitate and mediate solutions.
- Ability to manage a caseload of varied complexity within stated timelines.
- Relationship management and interpersonal skills to promote resolution of complaints.
- Research, information gathering, and analytical skills using a broad range of sources.
- Excellent team membership skills to work cooperatively and collaboratively with colleagues.
*Please note this is an existing position. The posting will close at 12AM on the expiry date*
#LI-OnsiteCompensation Grade:Grade 228-OPSEU ADM
Compensation Range:$1,478.60
$1,892.29
Bargaining Unit:OPSEU
Job Code:Job Code: 20207
Employment Type:Regular
Scheduled Weekly Hours:36.25
