Compliance Auditor Government of Ontario

North York (ON) Both (on-site & remote)
Opportunity Number: 2073117
Provincial GovernmentProfessional
LanguageSecurity Clearance
English verbal and writtenCriminal Check at time of placement
Start PeriodDate Posted
Two weeks +Wednesday, September 7, 2022
Job Description

Our Government of Ontario, financial regulatory client, is currently looking to hire four (4) Compliance Auditors for a 6 month contract.

SCOPE: As a member of the Market Conduct team, you will apply your audit knowledge to perform compliance examinations, field inspections, and desk reviews of mortgage brokerages, mortgage administrators, credit unions, insurers, corporate agents, agents, and health service providers regulated the organization.

Roles and Responsibilities

  • 1. Performing on-site, desk, thematic or supervisory examinations of the business operations and conduct of licensed mortgage brokerages, mortgage administrators, credit unions, insurers, corporate agents, agents, and/or health service providers to assess compliance with legislation and regulations.
  • 2. Contributing to the drafting of correspondence, e.g., findings letters, to licensed firms about results of examinations
  • 3. Communicating findings from examinations to management of licensed firms
  • 4. Recommending actions to address non-compliance and/or ability to influence regulated entities for the implementation of best practices

Qualifications and Experience
  • 1. Demonstrated knowledge of, and experience in, examinations, reviews, analysis and assessment of business operations, controls and/or compliance.
  • 2. Demonstrated knowledge of audit theory, standards and approaches; and risk-based audit or regulatory practices, principles, standards and techniques
  • 3. Knowledge of, or operational, compliance or internal audit experience at mortgage brokerages, administrators, credit unions or financial institutions, insurers, corporate agents, agents, or health service providers is an asset.
  • 4. Knowledge of applicable laws and regulation is an asset
Must have:

  • 1. Minimum five+ years of experience with operational or compliance audit in the financial sector
  • 2. Ability to interpret and apply legislation in support of market conduct reviews, assessments and findings.
  • 3. Demonstrated research, risk assessment, analytical, problem solving skills.
  • 4. Proven superior written and verbal communication skills.
  • 5. Demonstrated customer service, consultation and stakeholder relationship management skills.
  • 6. Travel in Ontario may be required.

Education and Certifications

Minimum education required: Bachelor's Degree

HYBRID: Up to 2 days on-site
BILLABLE HOURS: 7.25 hours/day OR 36.25 hours/week

We’re an equal opportunities employer committed to increasing diversity and inclusion in today’s workforce. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. Minorities, women, LGBTQ candidates, and individuals with disabilities are encouraged to apply. If you require an accommodation, please review our accessibility policy and reach out to our accessibility officer with any questions.
Merci de l’intérêt que vous manifestez pour ce poste. La description du poste nous a été fournie en anglais par notre client. Si vous souhaitez passer l’entrevue avec nous en français ou fournir votre CV en français, nous vous confierons à une personne de notre équipe qui parle français.

Opportunity Number: 2073117

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