Regulatory Licensing & Compliance Specialist

fsra; Toronto; On-site; CAD 65,000 - 90,000; Full time

Job summary

FSRA in Ontario serves as a regulators of financial services, reviewing license and registration applications to authorize approvals or recommend denials. This 12-month fixed-term contract requires strong regulatory knowledge, analytic capability, and stakeholder communication.

You will conduct licensing reviews, prepare enforcement and risk management reports, provide advisory services, and help deliver seminars to stakeholders.

Qualifications

• Degree in business administration, public policy or related field.
• Minimum of 3 years of regulatory licensing/approvals experience.
• Mortgage sector experience is considered an asset.

Responsibilities

• Reviews licence and registration applications from financial services intermediaries to ensure compliance.
• Identifies issues, follow-up requirements and assesses policy compliance.
• Prepares reports on policy, compliance, risk management and enforcement.
• Acts as expert witness at legal hearings/court proceedings as needed.
• Conducts field audits of life insurance agents and suitability assessments for mortgage agents.
• Provides information and advisory services to licence applicants and representatives.
• Develops and delivers seminars and training presentations to stakeholders.

Skills

Regulatory licensing knowledge

Compliance analysis

Research skills

Communication skills

Education

Bachelor's degree in business administration/public policy or related field

Job description

FSRA in Ontario serves as a regulators of financial services, reviewing license and registration applications to authorize approvals or recommend denials. This 12-month fixed-term contract requires strong regulatory knowledge, analytic capability, and stakeholder communication.

You will conduct licensing reviews, prepare enforcement and risk management reports, provide advisory services, and help deliver seminars to stakeholders.