Compliance Accountant - Regulatory Examinations POST NUMBER: 307006
About the Company
Our client is a professional service provider. They are looking for a Compliance Accountant who will be responsible for conduct risk-based reviews of registered firms and other regulated market participants to assess compliance with the organization. The role identifies regulatory deficiencies and internal control weaknesses, prepares formal reports and recommends appropriate corrective actions. The successful candidate will engage with firms and internal stakeholders to evaluate practical responses to non-compliance and determine when further regulatory action may be warranted. The position also requires applying regulatory principles to emerging market developments and balancing investor protection with sound commercial judgment.
Why Work Here
- Opportunity to contribute directly to investor protection and confidence in Ontario capital markets.
- Defined benefit pension, employer-paid health and dental premiums, and generous paid time off.
- Exposure to varied regulated firms and complex securities compliance issues.
About the Opportunity
General Overview:
- Champion investor protection and confidence in the capital markets: Conduct reviews of registered firms and regulated entities to assess compliance within the organization.
- Formulate corrective actions: preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and work with registered firms and regulated entities to determine what corrective action is required and assess appropriateness of corrective actions
- Engage with stakeholders: Find practical and balanced solutions to address non-compliance with securities laws and make recommendations for further regulatory action in appropriate circumstances
- Adapt regulatory principles to industry trends and emerging issues
Specific Responsibilities:
- Field Reviews of Market Participants
- Independently conduct operational field reviews of market participants and resolve routine issues.
- Identify and escalate complex, novel, unusual, or policy-related issues requiring senior guidance.
Prospectus Reviews
- Independently review prospectus filings, provide comments, and resolve accounting and financial reporting issues that are routine in nature.
- Identify and escalate novel, complex, policy-related, or broader regulatory concerns.
- Assess whether issuing a prospectus receipt is in the public interest.
Continuous Disclosure Reviews
- Independently conduct continuous disclosure reviews, provide comments, and resolve routine issues.
- Identify matters that may require restatements or involve policy implications and seek guidance from senior staff on their resolution.
Applications
- Partner with legal counsel to assess applications, determine whether exemptive relief is required, and assist in drafting orders and recommendation memoranda.
- Research and analyze precedents, applying or distinguishing them as appropriate.
- Coordinate and negotiate comments with other CSA staff.
- Handle routine and less complex applications, while referring applications with significant policy implications to senior staff.
Case Assessment and Investigations
- Assess and investigate potential breaches of securities law through research, evidence gathering, and analysis.
- Recommend appropriate next steps, including referral to Investigations or Litigation.
- Provide ongoing investigative, evidence-brief, and litigation support as part of multidisciplinary teams.
Stakeholder Inquiries
- Respond to inquiries from market participants, the public, auditors, and other stakeholders regarding accounting, auditing, and regulatory matters.
- Seek senior guidance on complex or policy-related issues.
Policy and Project Work
- Contribute to policy initiatives and special projects by assuming responsibility for assigned workstreams or subject matter areas.
- Participate as a team member rather than a project lead.
About You
- Membership in good standing with CPA Ontario
- Minimum 1 year of audit and assurance experience post CPA
- Experience at an audit and assurance firm
- Experience in investment management or financial services an asset
- Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely
Salary Range
$100,000 - $130,000/year
How to Apply
Click the “Apply Now” button and follow the instructions to submit your resume. Please know that we only accept documents in MS Word or Rich Text formats.
When referencing this job, quote #307006
This position for employment is for a current vacancy with Vaco/Highspring’s client. You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role.
Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual’s skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting. The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company’s 401(k) retirement plan. Additional disclaimer: Unless otherwise noted in the job description, the position Vaco/Highspring is filing for is occupied. Please note, however, that Vaco/Highspring is regularly asked to provide talent to other organizations. By submitting to this position, you are agreeing to be included in our talent pool for future hiring for similarly qualified positions. Submissions to this position are subject to the use of AI to perform preliminary candidate screenings, focused on ensuring minimum job requirements noted in the position are satisfied. Further assessment of candidates beyond this initial phase within Vaco/Highspring will be otherwise assessed by recruiters and hiring managers. Vaco/Highspring does not have knowledge of the tools used by its clients in making final hiring decisions and cannot opine on their use of AI products.
EEO Notice
Vaco by Highspring is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law.
Vaco by Highspring and its parents, affiliates, and subsidiaries are committed to the full inclusion of all qualified individuals. As part of this commitment, Vaco by Highspring and its parents, affiliates, and subsidiaries will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact HR@vaco.com.
Vaco by Highspring also wants all applicants to know their rights that workplace discrimination is illegal.
Representation Notice
By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present your as a candidate for the foregoing employment opportunity. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. You also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal.
For residents of Ontario, Canada: Based on Highspring’s discussions with its Client, Highspring’s understanding is that this position for employment is a current vacancy (either through Highspring as a contractor or with the client directly).
Privacy Notice
Vaco by Highspring and its parents, affiliates, and subsidiaries (“we,” “our,” or “Vaco by Highspring”) respects your privacy and are committed to providing transparent notice of our policies.
- California residents may access Vaco by Highspring HR Notice at Collection for California Applicants and Employees here.
- Virginia residents may access our state specific policies here.
- Residents of all other states may access our policies here.
- Canadian residents may access our policies in English here and in French here.
- Residents of countries governed by GDPR may access our policies here.
Additionally, submissions to this position are subject to the use of AI to perform preliminary candidate screenings, focused on ensuring minimum job requirements noted in the position are satisfied. More details about Vaco by Highspring’s use of AI can be found here (https://www.highspring.com/ai-use-notices/). Further assessment of candidates beyond this initial phase will be conducted by recruiters and hiring managers. Vaco by Highspring does not know and cannot opine on if its client’s use of AI products in hiring.
Pay Transparency Notice
Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to:
- the individual’s skill sets, experience and training;
- licensure and certification requirements;
- office location and other geographic considerations;
- other business and organizational needs.
With that said, as required by local law, Vaco by Highspring believes that the following salary range referenced above reasonably estimates the base compensation for an individual hired into this position in geographies that require salary range disclosure. The individual may also be eligible for discretionary bonuses.