Our client, a well-established organization in Toronto, is seeking a Financial Advisor & Examiner to join their team. This role offers a great opportunity to work in a dynamic and collaborative environment while leveraging your expertise in financial analysis and regulatory compliance. The successful candidate will be responsible for monitoring disclosure filings, reviewing financial statements, and ensuring compliance with securities regulations.

Please Note: This role is a 3 month contract, with possibility of extension till March 2027.

Roles and Responsibilities

• Maintain reporting issuer information in a database including ongoing disclosure filings, fees, defaults and related comments
• Monitor continuous disclosure and take appropriate action to put reporting issuers on public reporting issuer list
• Conduct daily basic reviews of Annual and Interim Financial Statements, Auditor Reports, Management Discussion & Analysis
• Conduct weekly review of Change in Auditor, Change in Status, Change in Year End, Documents Affecting the Rights of Shareholders
• Prepare appropriate follow-up correspondence to issuer to correct errors including re-fillings, re-certifications
• Ensure that appropriate annual participation fees have been paid
• Review applications for Management and make recommendations to approve or deny
• Respond to inquiries and communicate with issuers, agents, issuer or representatives regarding filing and continuous disclosure obligations

Qualifications and Skills

• Completion of Canadian Securities Course is an asset
• Knowledge of annual and interim financial statements is an asset
• Working knowledge of relevant Ontario securities legislation and understanding of Canadian securities regulatory environment
• Advanced Excel skills

Education

• A diploma or degree in a legal, business or finance related field or equivalent experience

Nice-to-Haves

• A minimum of 3 to 5 years related work experience, ideally in regulatory environment