Enforcement Branch

Fixed Term (Fixed Term), Full time

Closing Date: February 2, 2024

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.

We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.

12-month Contract/Secondment

The Enforcement Branch supports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario.  Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct.  A strong enforcement presence assists in protecting investors from unfair, improper or fraudulent practices, and fostering fair and efficient markets and the stability of the financial system.

Reporting to the Deputy Director, Operations, the Manager, Business Analytics and Reporting is responsible for overseeing all business reporting functions for the branch and guiding and consulting on business process improvements from a data and technology perspective.

Key Duties and Responsibilities

Business Analytics and Reporting

In partnership with the OSC Digital Solutions Branch, manages systems, statistical analyses and reporting processes for the Enforcement Branch to optimize outputs, results and strategic direction.

• Prepares regular and ad hoc reports for distribution throughout the Commission and to external stakeholders.  
• Collaborates with OSC Digital Solutions Branch to design and develop reporting formats, providing data interpretations as required, and leverage business solutions.
• Manages statistical data analyses processes, ensuring the timely delivery of accurate and relevant data and reports.
• Monitors the effectiveness and relevance of statistical analyses and reporting processes and their outputs to ensure continued alignment with Enforcement branch needs.
• In partnership with the OSC Digital Solutions Branch and OSC Information Services, collaborates to introduce best practice principles, including the principles of Agile workflows within the branch to maximize efficiencies both in technology and in investigations.

Coordinate and review content required in accordance with Freedom of Information Act Requests from the public, and consolidate the required documentation to provide as part of the response packaging on behalf of the Enforcement branch.

Systems and Technology

Aligns with OSC Digital Solutions Branch to manage Enforcement’s Case Management and Time Management systems and database development and maintenance activities, ensuring the solutions continue to support branch needs.

• Monitors overall system/data management effectiveness and data integrity, evaluating system capacity, reliability and usage, and ensures issues are resolved.
• Works closely with OSC Digital Solutions Branch and OSC Information Services in the roll out for any new Enforcement branch Case Management and Time Management solutions, system upgrades and new installations.
• Works closely with the OSC Digital Solutions Branch to identify opportunities for introducing new products and tools.

Collaborates with the Deputy Director, Operations and Senior Management team members in the development of Operations strategies and priorities relating to technology, and data analytics plans and strategies to ensure alignment with direction and strategy of OSC Digital Solutions Branch and to support effective Enforcement operations.

As a subject matter expert in the Branch on data, databases and relevant technologies, 

ensuring a strategic and data-centric approach to branch workflows.

Investigative Services Group

• Ensure efficient, effective, discreet and accurate acquisition and delivery of requisite information in response to internal security and criminal record check requests.
• Manages collaborative relationships with internal and external stakeholders, ensuring services and team activities support stakeholder needs, and plans and initiatives are effectively implemented.
• Modernize ISG practices and provide new services as necessary for the branch and other stakeholders.

Management & Leadership

• Manages team budget, team activities and performance. Ensures established goals and priorities are effectively managed and adherence to established policies, practice and standards to ensure quality services are provided.
• As people manager, manages staff performance and development and team recruitment.
• Manages relationships with operating branches and other stakeholders across the organization to gather and clarify feedback and information, provide advice, clear roadblocks, resolve issues, manage expectations and collaborate on projects and initiatives.
• Supports the management of the branch budget, monitoring budget adherence, helping the Deputy Director, Operations and Senior Management team members to resolve issues and ensure the timely preparation and delivery of all required financial reports and submissions.
• Develops relationships with external stakeholders, industry colleagues, other securities regulators and police agency representatives to exchange ideas and remain current on industry best practices and emerging trends.

Qualifications

• Undergraduate and/or Master’s degree in Accounting, Statistics, Mathematics, Information Technology, Business Administration or related field with 10 years of experience in systems/technologies, statistical analysis and reporting related, or an equivalent combination of experience and education.
• Strong technical skillset with subject matter expertise in analytics practices, systems and reporting and the ability to lead the further development of a team adept in these practices to support branch modernization efforts.
• Minimum of 3 years management experience, demonstrating strong leadership skills and the ability to manage people, projects and budgets.
• Excellent communication, presentation, problem solving and strategic/critical thinking skills.
• Demonstrated ability to build effective relationships, engage internal and external stakeholders, senior managers, and subject matter experts.
• Previous relevant cloud computing experience an asset.
• Experience implementing Case/Time Management Systems (either customized or COTS solutions) is preferred.
• Familiar with Agile project management methodology.
• Certified Scrum Master is an asset.
• Knowledge of investigation, forensic accounting and litigation best practices and/or experience is preferred.
• Sound knowledge of securities law and regulation, the capital markets, the Enforcement Branch and OSC business activities and regulatory requirements is an asset.

Grow your career and make a difference working at the OSC.

*OSC Employees, please apply in Workday using the OSC Internal Jobs Report in your Jobs Hub*

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the LGBTQ2S community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations: BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada
 

If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox HRRecruitment@osc.gov.on.ca.  
 

Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.