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Advisor, Legal & Compliance

Ombudsman For Banking Services and Investments
Toronto, ON

Quick apply

Job details

Full-time
$75,000–$90,000 a year

Qualifications

French
Investment
Microsoft Excel
Paralegal Studies
Post-secondary education
Microsoft Office
Analysis skills
SharePoint
Communication skills
Time management

Full job description

Canada’s Ombudsman for Banking Services and Investments (OBSI) is a national, independent and not-for-profit organization that helps resolve and reduce disputes between consumers and financial services firms in both official languages. OBSI is responsive to consumer inquiries, conducts fair and accessible investigations of unresolved disputes, and shares its knowledge and expertise with the stakeholders and the public. If a consumer has a complaint against an OBSI participating bank or investment firm that they are not able to resolve with the bank or firm, OBSI will investigate at no cost to the consumer.

Job Title: Advisor, Legal & Compliance

Reporting to: Director, Legal & Compliance

Vacancy: New vacancy

Salary Range: $75,000 – $90,000

Workplace Type: Hybrid arrangement with 2 days per week in office. The OBSI office is located in downtown Toronto.

Duties and Responsibilities

The Legal & Compliance Advisor supports OBSI’s legal, compliance, complaints, privacy, and corporate secretarial functions, helping ensure the organization meets legal and regulatory requirements, as well as public commitments, and maintains high standards of compliance and accountability. The Advisor works closely with the Director, Legal & Compliance, and other internal stakeholders, to manage compliance audits, complaints, privacy inquiries, corporate secretarial duties and various types of reporting.

The Legal & Compliance Advisor has a range of responsibilities, including:

Compliance & Audit Support

Manage compliance complaint inbox, including responding to consumer emails, liaising with the Service, Privacy and Reconsideration inboxes when required, and logging all compliance complaints
Assist in investigating and responding to compliance complaints, which may include, for example, reviewing case materials in OSCAR and Sharepoint, meeting with case assessment officers/investigators and their managers, preparing a report with preliminary conclusions, and drafting correspondence to be sent by the Director, Legal & Compliance
Conduct an annual general compliance audit of OBSI’s core regulatory, legal obligations and public commitments, which includes, for example, planning and documenting the audit, liaison with various internal stakeholders, drafting final audit reports and tracking required post-audit follow-up
Conduct quarterly case-specific audits of OBSI’s compliance with OBSI’s core regulatory, legal obligations, and public commitments, which includes, for example, planning and documenting the audit, liaison with various internal stakeholders, drafting final audit reports, and tracking required post-audit follow-up.
Support the internal compliance audit process and function in miscellaneous tasks.
Update and maintain tracking information (e.g., Excel/Sharepoint)

Service & Privacy Complaints

Manage service complaint and privacy inquiry inboxes, which may include, for example, responding to consumer and stakeholder inquiries (and escalating as needed), coordinating among the Service, Privacy and Reconsideration inboxes when required, reviewing case materials information and materials in OSCAR and Sharepoint, meeting with case assessment officers or investigators and their managers, preparing a report with preliminary conclusions, and drafting correspondence to be sent by the Director, Legal & Compliance
Update and maintain tracking information (e.g., Excel/Sharepoint).

Reconsideration Support

Manage reconsideration inbox, including reconsideration assignments
Assist reconsideration officers by preparing reconsideration files by, for example, ensuring all required elements are included in the file before assignment to the reconsideration officer
Assist reconsideration officers by closing reconsideration files, which may include, for example, saving emails and other materials to the file and sending out the closing letter on the reconsideration officer’s behalf

Regulatory Reporting & Documentation

Assist with reporting to regulatory bodies (e.g., FCAC, JRC, provincial credit union regulators), including quarterly reporting and ad hoc reporting (e.g., reportable compliance issues, systemic issues)
Work with the Data & Reporting Specialist to meet reporting requirements and liaise with internal stakeholders to ensure data and other report inputs are as accurate as possible and that reported information is presented in a clear, accurate and succinct manner

Corporate Secretary & Governance Support

Assist with board meeting coordination, document preparation, and record-keeping.
Assist with minute book maintenance.
Ensure compliance with corporate governance regulations and internal policies.

Regulatory Oversight

Support compliance with any binding designation order oversight regime, including liaising with regulators and other internal stakeholders, and preparing required reports and other documentation.

Key Qualifications, Abilities, and Skills

Post-secondary education in law, compliance, or a related field (law clerk, paralegal, or legal studies preferred).
Experience in compliance, privacy, or corporate governance an asset.
Strong judgment – the ability to make responsible decisions independently based on available information.
Strong written and oral communication skills – the ability to communicate effectively and professionally demonstrating diplomacy, tack and patience.
Strong analytical skills and attention to details – including the ability to break down complex information, interpret and determine relevancy of information, and use conceptual or inductive reasoning to identify options and solutions
Strong planning, organizational and time-management skills - including the ability to identify tasks, resources required and manage multiple priorities and deadlines.
Self motivated and accountable to take initiative to support innovation
Familiarity with banking and investment industry practices, legislation, and regulation is an asset.
Proficiency in Microsoft Office suite; experience with SharePoint is an asset.
French language proficiency considered an asset.

OBSI strives to provide equal opportunity to qualified individuals with all abilities and, as such, we are committed to offering reasonable accommodation during the hiring process. If you require special assistance or accommodation, please contact Human Resources at [email protected].

While we may use digital tools to support the efficiency of our recruitment process, we do not use AI to identify or screen candidates.

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Refine Your Search

paralegal governance jobs in vaughan, on

Advisor, Legal & Compliance

Director, Legal Operations & Corporate Governance

Paraprofessional - Law Clerk/Paralegal

Corporate Paralegal

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Translator, Communications (Permanent)

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Executive Assistant Strategy (Permanent)

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Director, Enterprise Planning and Performance (Permanent)

Senior Law Clerk - Corporate Services

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