Compliance Officer

The Financial and Consumer Services Commission (Commission) is a leader in integrated financial and consumer services regulation. The Commission's mandate is to protect consumers and enhance public confidence in the financial and consumer marketplace through the provision of regulatory and educational services. With offices in both Fredericton and Saint John, it is responsible for the administration and enforcement of provincial legislation regulating mortgage brokers, payday lenders, real estate, securities, insurance, pensions, credit unions, trust and loan companies, cooperatives, unclaimed property, and a wide range of consumer legislation. The Commission is a self funded Crown corporation responsible for the administration and enforcement of financial consumer services legislation.

We offer opportunities for dedicated professionals to play a vital role in carrying out our mandate.

Compliance Officer - Securities Division - Saint John Office

We're looking for a Compliance Officer (15-month contract) to join our Securities Division. This is an opportunity to play a meaningful role in protecting investors and maintaining confidence in New Brunswick's capital markets. Working in a dynamic regulatory environment, you will conduct compliance reviews of registered firms and individuals, contribute to national regulatory initiatives through the Canadian Securities Administrators (CSA), participate in oversight activities involving self-regulatory organizations, and perform key registration functions. Using your strong analytical, investigative, and communication skills, you'll help ensure market participants meet their regulatory obligations and support a fair and effective securities marketplace.

Your Focus:

• As a key member of the Securities Division, you will:
• Lead and participate in compliance reviews, examinations, and regulatory initiatives to assess registrants' compliance with securities legislation, regulatory requirements, and firm policies.
• Identify compliance risks and regulatory breaches, recommend appropriate regulatory action, and support enforcement investigations when required.
• Represent the Commission on Canadian Securities Administrators (CSA) committees and working groups, contributing to national compliance initiatives, regulatory guidance, and self-regulatory organization (SRO) oversight activities.
• Review and approve registration applications, assess applicant suitability, and make recommendations regarding registration terms, conditions, or refusals.
• Provide guidance and advice to registrants, market participants, regulatory bodies, and Securities Division staff on compliance and registration matters.
• Conduct reviews of Community Economic Development Corporations (CEDCs) and Cooperatives to ensure compliance with ongoing regulatory reporting requirements.
• Monitor industry developments and contribute to regulatory policy work, including the review of proposed amendments, policies, and exemption applications.

What you Bring

• University degree in business, commerce, public administration or a related discipline;
• 3+ years of relevant industry work experience,
• Understanding of risk and compliance issues in a regulatory environment,
• Completion of, or willingness to complete, the Canadian Securities Course (or equivalent course),
• Strong organizational skills with the ability to manage multiple priorities and meet deadlines,
• Effective communicator in both collegial and adversarial situations,
• Solid interview skills,
• Highly analytical,
• Sound judgment while exercising tact and discretion,
• Takes initiative.

Additional Strengths

• Bilingualism is an asset
• Experience in conducting audits, examinations and/or compliance with respect to regulated industry participants is an asset,
• Working knowledge of securities legislation is an asset,

The Financial and Consumer Services Commission offers a competitive salary and benefit package as well as excellent opportunities for personal growth and challenge. Salary will be commensurate with experience. If you are interested in being a key part of this team, please forward your résumé and covering letter.

Salary Range: $75,482 to $103,787 (annual compensation)

As a condition of employment, the successful candidate will be required to undergo a pre-employment background check in accordance with the Commission's Pre-Employment Background Checks Directive. This may include criminal record checks, credential verification, and reference checks.

For more information about this position please visit our website at www.fcnb.ca or call the Talent Acquisition Specialist at (506) 643-7790.

Please note that only candidates selected for further evaluation will be contacted.