Enterprise Compliance Lead

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, and enforcement activities. 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.

The General Counsel’s department (GCD) provides expert, client-centred, legal, strategic and risk management advice to the Commission based on sound legal and reputational risk analysis. In addition, the GCD includes the Compliance Office responsible for the administering controls related to the Code of Conduct and advising on related ethical issues and coordination of enterprise wide compliance framework.
 

Reporting to the Associate General Counsel, the Enterprise Compliance Lead provides strategic oversight of the OSC’s Compliance Office and leads the enterprise compliance program, ensuring alignment with applicable laws, regulations, and government directives. The role is accountable for maintaining and advancing the enterprise compliance framework and promoting a strong culture of ethical conduct across the organization.
 

Working closely with the Compliance Officer, the Enterprise Compliance Lead oversees the employee personal trading program, supports elements of the Code of Conduct and the Public Service of Ontario Act, and provides practical advice on ethics and compliance matters. The role also strengthens organizational integrity by embedding compliance practices into daily operations. In addition, the Enterprise Compliance Lead manages enterprise-wide compliance monitoring, reporting, and attestation processes; advises Ethics Executives; and provides briefings to senior management and the Board.
Through this work, the role drives continuous improvement in compliance management, reporting, and ethical practices across the OSC.

Key Responsibilities
 

Leadership & Advisory

• Provide expert advice to senior leadership, including Ethics Executives, on the interpretation and application of the Code of Conduct and relevant legislation.
• Function as a subject matter expert on ethics, compliance, and conflicts of interest, partnering with legal counsel on complex matters.
• Build and maintain strong relationships with internal and external stakeholders while modeling integrity and ethical decision-making.
   

Compliance Framework & Program Management

• Lead the development, implementation, and continuous enhancement of the enterprise compliance framework.
• Oversee the creation and maintenance of policies, procedures, and tools that support the compliance program.
• Drive improvements to compliance processes, controls, and reporting to strengthen program effectiveness.
   

Monitoring, Reporting & Risk Oversight

• Oversee enterprise compliance monitoring, including attestation and Certificate of Assurance processes.
• Report on compliance risks, issues, and trends to senior leadership and the Board, ensuring transparency and accountability.
• Partner with Risk and Internal Audit to assess controls and ensure timely identification, escalation, and remediation of compliance issues.
   

Culture, Training & Awareness

• Promote a strong culture of ethics and compliance through targeted training, communication, and guidance.
• Monitor regulatory and legislative developments and ensure organizational readiness and alignment.
• Collaborate with governance, risk, and audit functions to support a cohesive enterprise-wide approach.
   

Employee Trading & Ethics Oversight

• Provide strategic oversight of the employee personal trading program and related ethics requirements.
• Ensure effective administration of declarations, attestations, and compliance with the Code of Conduct.
• Guide and support the Compliance Officer in the day-to-day execution of the compliance program.

Qualifications

• Undergraduate degree in business and/or a relevant discipline, or equivalent experience and education.
• 10+ years of relevant, senior level experience in designing and governing enterprise compliance frameworks and programs is required.
• Deep knowledge of public sector ethics and policy experience, and successful completion of the Canadian Securities Course are required.
• Strong knowledge of capital markets and financial services industries and their standards and practices.
• Demonstrated ability to lead cross-functional initiatives and influence evolving organizational compliance culture.
• Proven ability to build trusted relationships with senior executives and external oversight bodies.
• Demonstrated experience in anticipating and supporting enterprise-wide compliance readiness.
• Demonstrated leadership in guiding and advising compliance professionals or functions.
   

You are an ideal candidate for this role if you bring a strong understanding of internal control frameworks and compliance risk assessment methodologies, combined with experience advising senior leaders on ethics, conflicts of interest, and public-sector accountability requirements. You are an excellent communicator who can engage and influence a wide range of stakeholders, think strategically at an enterprise level, and apply sound judgment to complex and emerging issues. You are detail-oriented and highly collaborative, with proven ability to prepare clear reports, presentations, and briefing materials, while managing sensitive information with discretion. You are proactive in identifying risks and opportunities, comfortable navigating ambiguity, and bring a continuous improvement mindset, including an interest in leveraging data, analytics, and emerging tools to enhance compliance oversight.

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

* OSC Employees: please apply in Workday using the Browse Jobs feature within 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 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations: Ascend Canada, 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 [email protected].  
 

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