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Website Ontario Securities Commission


The OSC is an independent Crown agency that regulates Ontario’s capital markets and has a mandate to protect investors, foster efficient and competitive capital markets and contribute to the stability of the financial system and the reduction of systemic risk. This mandate is carried out through policy, operational, adjudication and enforcement work. The OSC also contributes to national and global securities regulation development.   Attracting and retaining exceptional talent is key to the OSC in realizing its vision of working together to make Ontario’s capital markets inviting, thriving and secure. The OSC offers a diverse, fair, and flexible work environment and takes pride in providing challenging and rewarding work.  

CONTEXT Recognizing the need to adapt and lead in the dynamic environment of evolving capital markets, the OSC has developed a new Strategic Plan to be its roadmap for the next six years. As part of this process, the OSC has undertaken an organizational realignment and created the new Registration, Inspections and Examinations (RIE) Division. Reporting to the EVP of Regulatory Operations, the SVP will shape the Division’s vision and bring fresh thinking, a programmatic approach, and a sense of urgency as it undertakes its mandate to regulate dealers, advisers, SROs, investment fund managers and other market participants through a robust registration, inspection, and examination program. With a focus on proactively promoting compliance through prevention, the SVP RIE will lead their team to actively utilize regulatory tools such as Risk Alerts as a powerful deterrent for emerging and novel areas including, but not limited to, management of significant conflicts of interest, cybersecurity, safeguarding of assets, financial product availability and use of artificial intelligence.  


The SVP RIE is responsible for developing and executing the strategic direction of the Division in alignment with overall OSC objectives. With approximately 85 staff, divided into two teams, Operations and Registrant Review, the team conducts inspections, targeted sweeps and examinations and collaborates with other OSC divisions to enhance regulatory oversight.