Compliance Officers (Talent Pool) three permanent and one temporary The Financial Services Commission of Ontario (FSCO)

is seeking individuals with exceptional customer service and problem-solving skills and sound knowledge of market conduct or financial analysis principles and methodologies to review, analyze and resolve complaints/allegations and complex inquiries regarding the business practices and market conduct of financial service institutions and intermediaries in the sectors regulated by FSCO.

As a Compliance Officer, you will: receive and respond to complaints/allegations and/or complex inquiries about potential misconduct and adverse business practices of individuals and companies regulated by FSCO (e.g. insurance companies, mortgage agents/brokers, credit unions, caisses populaires, cooperatives, intermediaries) determine the nature/severity of the complaint/allegation, analyze business or financial documents to assess the nature of business practices and products and identify/confirm issues and determine the level of risk of harm from misconduct and/or non-compliance with FSCO legislation and regulations perform detailed fact finding inquiries and desk or onsite market conduct reviews including interviewing representatives of the financial services institutions and intermediaries provide technical information, advice and guidance to financial institutions and intermediaries related to the interpretation and compliance requirements of FSCO legislation/regulations and facilitate specific market driven solutions to resolve complaints/issues or to improve compliance prepare timely and comprehensive case analysis, reports and compliance letters recommend further follow-up investigation and/or enforcement action participate on branch or division project teams for the review and development of unit systems, procedures and processes participate in stakeholder consultations to promote risk-based approaches to market conduct regulation and to establish industry cooperation in identifying, preventing and solving market conduct problems Location: 5160 Yonge Street, Toronto, Ontario

What we are looking for:

Knowledge of and/or working experience related to financial service sectors/industries that are regulated by FSCO in Ontario, experience in the mortgage brokering, property and casualty insurance (including automobile), life and health insurance or credit union/caisses populaires sectors.

Superior research, assessment, analytical and organizational skills, excellent judgment and the ability to interpret legislation and policy: proven superior research and investigative skills to assess complaints/allegations and gather related information/data from complex business documents, financial statements/records and a broad range of other sources proven skill/experience in analyzing information, preparing comprehensive case reports and providing decisions and recommendations proven organizational skills, excellent judgment and the ability to make timely independent decisions in a high-volume and fast-paced work environment the proven ability and experience in interpreting legislation and policies related to FSCO regulated financial services Superior communication, knowledge/experience: customer service and conflict resolution

proven superior listening, oral communication and consultation skills with experience in effectively responding to and resolving complaints/allegations and complex inquiries demonstrated superior knowledge of writing and editing principles, practices, styles and techniques and proven excellent skill and experience in preparing detailed analytical reports, briefing notes, complex correspondence and draft procedures/processes proven exceptional interpersonal skills and knowledge in delivering outstanding customer service, diffusing and reconciling conflicts and resolving disputes and confrontational situations demonstrated working experience in a high-volume, technically complex and satisfying customer service role demonstrated excellent team membership and leadership skills Excellent knowledge/skills in the principles and practices of market conduct assessments, risk-based regulatory compliance reviews and financial analysis:

proven excellent knowledge of business process or product reviews, analysis and assessment practices in the FSCO regulated sectors, or proven exceptional dispute resolution skills and knowledge, or proven excellent knowledge of risk based regulatory or compliance principles, standards and techniques within a financial services environment, or proven excellent knowledge and experience in performing detailed business analysis, or proven knowledge of accounting and/or internal audit principles, practices and methods Notes: To apply, please send your cover letter and rsum, quoting competition FSCO 52/2013. The number of positions to be filled has not been identified at this time. This competition will be used to create an eligibility list of qualified candidates to fill upcoming opportunities within the next eighteen months following the closing date of the job ad posting. Salary range: $1,232.54 $1,577.40 per week Send application to: applyfsco@head2head.ca

Please review the job ad online, only, at www.ontario.ca/careers, quoting Job ID 62667, by February 21, 2014. Faxes are not being accepted at this time. If you need employment accommodation, please contact us at www.gojobs.gov.on.ca/ContactUs.aspx to provide your contact information. Recruitment Services staff will contact you within 48 hours. Only those applicants selected for an interview will be contacted.

The Ontario Public Service is an equal opportunity employer. Accommodation will be provided in accordance with the Ontario Human Rights Code.

www.ontario.ca/careers

COMPLIANCE OFFICER (TALENT POOL)

Organization: Division: City: Job Term: Job Code: Salary: Posting Status: Job ID: Financial Services Commission Licensing and Market Conduct Division Toronto 3 Permanent, 1 Temporary position up to 12 months 20207 - Financial Officer 4 (B/U) $1,232.54 - $1,577.40 Per Week* Open 62667

The Financial Services Commission of Ontario (FSCO) is seeking individuals with exceptional customer service and problem-solving skills, and sound knowledge of market conduct or financial analysis principles and methodologies to review, analyze and resolve complaints/allegations and complex inquiries regarding the business practices and market conduct of financial service institutions and intermediaries in the sectors regulated by FSCO. What can I expect to do in this role? As a Compliance Officer, you will: receive and respond to complaints/allegations and/or complex inquiries about potential misconduct and adverse business practices of individuals and companies regulated by FSCO (e.g. insurance companies, mortgage agents/brokers, credit unions, caisses populaires, cooperatives, intermediaries); determine the nature/severity of the complaint/allegation, analyze business or financial documents to assess the nature of business practices and products, and identify/confirm issues and determine the level of risk of harm from misconduct and/or non-compliance with FSCO legislation and regulations; perform detailed fact finding inquiries and desk or on-site market conduct reviews including interviewing representatives of the financial services institutions and intermediaries; provide technical information, advice and guidance to financial institutions and intermediaries related to the interpretation and compliance requirements of FSCO legislation/regulations, and facilitate specific market driven solutions to resolve complaints/issues or to improve compliance; prepare timely and comprehensive case analysis, reports and compliance letters; recommend further follow-up investigation and/or enforcement action; participate on branch or division project teams for the review and development of unit systems, procedures and processes; participate in stakeholder consultations to promote risk-based approaches to market conduct regulation and to establish industry cooperation in identifying, preventing and solving market conduct problems. How do I qualify? Knowledge: Knowledge of and/or working experience related to financial service sectors/industries that are regulated by FSCO in Ontario, with experience in the mortgage brokering, property and casualty insurance (including automobile), life & health insurance or credit union / caisses populaires sectors. Superior research,

assessment, analytical and organizational skills, excellent judgement, and the ability to interpret legislation and policy:

proven superior research and investigative skills to assess complaints/allegations and gather related information/data from complex business documents, financial statements/records and a broad range of other sources; proven skill/experience in analyzing information, preparing comprehensive case reports and providing decisions and recommendations; proven organizational skills, excellent judgement and the ability to make timely independent decisions in a high volume and fast paced work environment; proven ability and experience in interpreting legislation and policies related to FSCO regulated financial services Superior communication, customer service and conflict resolution knowledge/experience: proven superior listening, oral communication and consultation skills with experience in effectively responding to and resolving complaints/allegations and complex inquiries; demonstrated superior knowledge of writing and editing principles, practices, styles and techniques, and proven excellent skill and experience in preparing detailed analytical reports, briefing notes, complex correspondence and draft procedures/processes; proven exceptional interpersonal skills and knowledge in delivering outstanding customer service, diffusing and reconciling conflicts and resolving disputes and confrontational situations; demonstrated working experience in a high volume, technically complex, and satisfying customer service role; demonstrated excellent team membership and leadership skills. Excellent knowledge/skills in the principles and practices

of market conduct assessments, risk-based regulatory compliance reviews and financial analysis: proven excellent knowledge of business
process or product reviews, analysis and assessment practices in the FSCO regulated sectors; or proven exceptional dispute resolution skills and knowledge; or proven excellent knowledge of risk based regulatory or compliance principles, standards and techniques within a financial services environment; or proven excellent knowledge and experience in performing detailed business analysis; or proven knowledge of accounting and/or internal audit principles, practices, and methods. Note: The number of positions to be filled has not been identified at this time. This competition will be used to create an eligibility list of qualified candidates to fill upcoming opportunities within the next eighteen months following the closing date of the job ad posting.

Additional information:
Address:

1 Temporary, duration up to 12 months, 5160 Yonge St, Toronto, T Region 3 Permanent, 5160 Yonge St, Toronto, Toronto Region Compensation Group: Ontario Public Service Employees Union Schedule: 6 Category: Finance and Economics Posted on: Thursday, January 30, 2014

How to apply:

You must submit your application using only one of the methods identified below. Your cover letter and resume combined should not exceed five (5) pages. For tips and tools write a concise cover letter and resume, review the Writing a Cover Letter and Resu Tools and Resources. Customize your cover letter and resume to the qualifications listed on the job ad. Using conc examples, you must show how you demonstrated the requirements for this job. We rely information you provide to us. Be sure to quote the Job ID number for this position. OPS employees are required to quote their WIN EMPLOYEE ID number when applying. Send application to: Applications are accepted by email

applyfsco@head2head.ca All external applicants (including former employees of the Ontario Public Service) applying to a competition in a ministry or Commission public body must disclose (either in the cover letter or resume) previous employment with the Ontario Public Service. Disclosure must include positions held, dates of employment and any active restrictions from being rehired by the Ontario Public Service. Active restrictions can include time and/or ministry-specific restrictions currently in force, and may preclude a former employee from applying and/or accepting a position with the Ontario Public Service for a specific time period (e.g. one year), or from applying and/or accepting a position with a specific ministry (either for a pre-determined time period or indefinitely). The circumstances around an employee's exit will be considered prior to an offer of employment. Remember: The deadline to apply is Friday, February 21, 2014 11:59 pm EST. Late applications will not be accepted. We thank you for your interest. Only those selected for further screening or an interview will be contacted. Job advertisements for positions that have been designated bilingual will be provided in both English and French on the website. Positions that are not designated bilingual are not translated and are displayed in English only on both the English and French versions of the website. Les annonces d'emploi pour les postes dsigns bilingues sont publies en anglais et en franais sur le site Web. Les annonces pour les postes qui ne sont pas dsigns bilingues ne sont pas traduites et elles figurent en anglais seulement, tant dans la version franaise que dans la version anglaise du site. The Ontario Public Service is an inclusive employer. Accommodation is

available under the Ontario Human Rights Code. Note: The only website where you can apply on-line for positions with the Ontario Public Service is http://www.gojobs.gov.on.ca *Indicates the salary listed as per the OPSEU Collective Agreement.