Accounting Opportunities

Description:

The Compliance and Registrant Regulation (CRR) Branch oversees the dealers, advisers and investment fund managers that the public relies upon when investing in securities. Using a risk-based approach, CRR focuses on initial and ongoing registration and compliance reviews of registrants. CRR also develops significant policy and legislative initiatives affecting registered firms and individuals at both the Ontario and national levels. As well, the CRR Branch administers an “Opportunity to be Heard” process and other administrative processes that deal with registrant misconduct as part of the compliance – enforcement continuum. The CRR Branch consists of several multi-disciplinary teams made up of Chartered Professional Accountants, Lawyers and Registration Officers.

Working in the Compliance and Registrant Regulation Branch could include the following:

• conducting high quality, risk-based reviews by examining the operations of registrants with a focus on internal controls, risk management and governance frameworks, and partnering closely with registrants and stakeholders to determine practical and balanced solutions
• preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and working with registrants to assess what corrective action is required
• in some cases, making recommendations for further regulatory action relating to the misconduct identified