Senior Licensing Advisor - Financial Advisor/Financial Planner Licensing

North York (ON) Both (on-site & remote)
Opportunity Number: 2073257
Provincial GovernmentConsulting
LanguageSecurity Clearance
English verbal and writtenNot required
Start PeriodDate Posted
Two weeks +Wednesday, September 14, 2022
Job Description

Our client, a provincial regulator, is seeking a Compliance Officer to join their team on a 6-MONTH CONTRACT.

In this role, you will provide advisory services, conduct compliance reviews, and approve licensing for credentialing bodies within the financial services and insurance industries.

This is a HYBRID role requiring 2 days on site in North York.

IMPORTANT: To apply for this role, you must be incorporated/a consultant with articles of incorporation. Sole Proprietors can not be considered at this time.

Roles and Responsibilities

  • Develop policies and guidelines to support legislative oversight of credentialing bodies
  • Review courses submitted for approval of Insurance and Mortgage sectors
  • Assess credentialing applications to protect the integrity of Financial Planner and Financial Advisor designations
  • Work with senior management and key stakeholders to audit policies, service level standards, metrics, and reporting requirements
  • Respond to complaints against credentialing bodies
  • Prepare qualitative and quantitative reports to support decision making activities
  • Lead a range of project initiatives related to FPFA program activities

Qualifications and Experience
  • Degree in Accounting, Finance, Commerce, Law, Public Policy or comparable field
  • 5+ years' experience in compliance, licensing, or registration within a regulatory environment
  • Proven financial and compliance analysis skills

Education and Certifications

Minimum education required: University Degree

Apply today or email your resume to for immediate consideration.

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: 2073257

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