Director, Enforcement

At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we’re passionate about protecting consumers. Our principles-based approach means we can quickly and effectively respond to the changing needs of consumers and the industry.
 

Our team combines industry expertise with commitment to public service. We attract individuals who are interested in meaningful work and who measure success through outcomes, not inputs.
 

At FSRA, we invest in the personal and professional growth of our team.  We offer a competitive compensation package that includes an employer-matched defined benefit pension plan, and a comprehensive and competitive benefits plan. We prioritize learning and development, wellbeing, diversity, equity, inclusion and belonging, and community giving.
 

Join FSRA and help us shape the future of regulation for generations to come!

Job Description:

PURPOSE OF POSITION

To lead the Enforcement and Investigations function by setting the direction, priorities, and operational framework for regulatory enforcement, investigations, and prosecution activities. Accountable for ensuring these functions effectively support FSRA’s mandate, uphold regulatory integrity, drive compliance across regulated sectors, and safeguard consumers and the public interest.

KEY RESPONSIBILITIES

• Oversees the development and operations of the Enforcement and Investigation function programs/ services/initiatives, including strategies, plans, methods, tools, and processes for FSRA’s prosecutorial function to meet the overall strategic plans and priorities of FSRA.

• Directs enforcement and exercises delegated statutory and regulatory decision authorities to support high standards of business and market conduct in financial services sectors regulated by FSRA and effectively execute FSRA’s regulatory framework

• As a member of the Legal & Enforcement leadership team, contributes to the FSRA strategy and development of tactics; and provides leadership in executing programs, services or initiatives to deliver on the strategy. 

• Plans and directs the delivery of Enforcement and Investigation function programs/services/initiatives, ensuring consistency with overall department performance measures, standards, and best practices and integration with overall FSRA directions including the development of a robust and effective  enforcement function comprised of case management and litigation teams, responsible for working closely with all FSRA core regulatory areas to prioritize, direct, triage and execute the enforcement strategy.

• Leads and directs large, high profile, , complex and/or joint investigations before the Financial Services Tribunal and Courts that may involve collaboration with law enforcement agencies and other regulators.

• Provides program/service/initiative expertise and advice to FSRA management and staff in response to issues and on emerging risks, enforcement trend and operational challenges, providing evidence-based recommendations to support decision-making and organizational priorities.

• Manages the section and its staff to support an environment and culture of service excellence which respects diversity, encourages all employees to work together to achieve results and contribute to a healthy, rewarding and productive working environment where personal and team accountability are key to meeting the mandate of FRSA.  Accountable for building a strong team including hiring, orienting, training and coaching of staff, determination of performance standards, conduct of performance reviews and management of performance and employee relations matters. 

• Works with the EVP of Legal & Enforcement in developing overall department/sub-function operational plans and the development and reporting on performance metrics, program effectiveness, risk management strategies and reporting frameworks to evaluate program effectiveness, demonstrate outcomes, and ensure responsible stewardship of public resources.

• Champions innovation and continuous improvement across the Enforcement and Investigation section and FSRA, fostering a collaborative, forward-thinking culture while leading enhancements to Developing Data Driven Investigation and Litigation Processes/People

• programs, services, initiatives, and organizational effectiveness.

• Develops and manages relationships and consultation with stakeholders impacted by the Enforcement and Investigation section programs, services and initiatives to identify trends, common issues and needs.

• Builds and sustains collaborative relationships with internal and external stakeholders, including regulatory partners, industry representatives, law enforcement agencies, legal counsel, and government organizations, to support coordinated regulatory oversight and effective enforcement outcomes.

• Acts on behalf of the EVP of Legal & Enforcement.

QUALIFICATIONS   

Education and Experience

• Law Degree from a recognized law school and a member in good standing of the Law Society of Ontario.  

• Senior leadership experience (10-15 years) litigation and/or regulatory enforcement experience with expertise in financial services and regulatory enforcement.

Knowledge and Skills

• Advanced knowledge of sector-specific legislation and regulatory requirements, including the Insurance Act, Credit Unions and Caisses Populaires Act, Securities Act, etc., and related statutes and regulations.

• Extensive knowledge of administrative law principles, regulatory enforcement frameworks, and adjudicative tribunal processes.

• Demonstrated expertise in statutory interpretation and the application of legislative mandates.

• Thorough understanding of tribunal procedures, evidentiary requirements, and litigation practices before adjudicative bodies.

• Advanced knowledge of regulatory investigations, enforcement proceedings, and complex litigation strategies involving administrative, civil, and quasi-criminal matters.

• Extensive knowledge of regulated financial services sectors, consumer protection and regulatory frameworks.

• Strong understanding of emerging risks, market trends, misconduct patterns and systemic sector issues.

• Knowledge of government, regulatory and stakeholder environments, including regulators, law enforcement, industry, public interest groups and media.

• Exceptional legal analysis, judgment and problem-solving skills to assess regulatory, litigation, operational and reputational risks.

• Strong investigative and enforcement planning skills to lead high-risk, complex and potentially

• precedent-setting matters.

• Experience leading data-driven investigation processes to inform strategic decision-making, strengthen accountability, and guide enterprise or organization-wide priorities.

• Ability to develop and execute enforcement strategies, identify emerging risks and translate priorities into action.

• Proven ability to lead enforcement programs, manage resources, measure performance and drive continuous improvement.

• Superior advocacy, litigation oversight, negotiation and dispute resolution skills, including management of external counsel.

• Demonstrated leadership skills with the ability to manage, influence, and champion organizational change while reinforcing and evolving the organization's culture, vision, and strategic priorities.

• Exceptional communication, influencing and stakeholder management skills, with the ability to present complex matters to executives, Boards, stakeholders and media.

• Ability to build and maintain effective relationships with regulators, law enforcement, government, industry, external counsel and internal partners.

• Proven ability to lead, coach and participate in high-performing teams

• Strong political acuity and judgment in managing high-profile regulatory matters and their broader implications.

• Demonstrated experience applying change management principles to support effective transitions across processes, people, and organizational structures.

Employment Type:

Regular

Scheduled Weekly Hours:

36.25