Officer – Examinations Department

Duties/Responsibilities: 

• Carry out onsite regulatory examinations in accordance with the applicable legislative requirements of each of the Commission’s licensees, which includes, but not limited to:
  • Conduct interviews and liaise with the Commission’s licensees. 
  • Gather electronic documentation via e-mail correspondence, secure within Pentana audit software, and documentation of regulatory audit work. 
  • Review client files and documentation of the results. 
• Assist with the drafting of routine examination reports (RERs). 
• Attend meetings with licensees at entry, exit and during the course of the onsite examination.
• Assist with updating work programs in Pentana as may be required. 
• Assist with updating templates used in the conduct of exams as may be required.
• Assist with the preparation and the conduct of annual agent training. 
• Address review notes assigned by the senior officer, and management. 
• Support management in international regulatory body report submissions, questionnaires, surveys and the like. 
• Provide support, training and oversight to junior team members. 
• Attend special ad hoc meetings and provide support to superiors in the completion of special projects. 
• Assist examinations team members with other routine and ad hoc tasks as necessary. 

Qualifications/Experience: 

• 5+ years of regulatory and/or financial services experience. 
• Bachelor’s degree in accounting, finance or law; legal qualification as an attorney-at-law preferred. 
• Obtained or actively pursuing CPA or CA designation and/or Anti-money laundering (AML)/Compliance qualifications (ICA or CAMS) would be an asset. 
• Broad knowledge of capital markets, products, legislation and regulatory environment.