• Compliance Officer
  • Position: Investigative Enforcement Counsel
  • Job/Opportunity Number:
  • Unit/Department:
  • Organization: Financial and Consumer Services Commission (FCNB)
  • Website: www.fcnb.ca
  • Location: Fredericton or Saint John
  • Term: Permanent; full-time
  • Posting Date:
    December 12, 2020
  • Deadline to Apply:
  • Compensation:

    FCNB is a leader in integrated financial and consumer services regulation. FCNB’s mandate is to protect consumers and enhance public confidence in the financial and consumer marketplace through the provision of regulatory and educational services. With offices in both Fredericton and Saint John, it is responsible for the administration and enforcement of provincial legislation regulating mortgage brokers, payday lenders, real estate, securities, insurance, pensions, credit unions, trust and loan companies, co-operatives, and a wide range of consumer legislation. FCNB is an independent Crown corporation funded by the regulatory fees and assessments paid by its regulated sectors.

    We offer opportunities for dedicated professionals to play a vital role in carrying out our mandate.

    For more information on regulatory bodies and their consumer protection mandate, visit the Canadian Regulatory Guide.

    the role

    We are seeking a competent legal professional to provide investigative and legal support services to the Division and to assist in providing legal advisory services to other divisions with regard to enforcement matters.

    The role will provide investigative and legal assistance and advice in all phases of enforcement activity, from assessment to prosecution, within the Enforcement Division, including the following duties:

    • Analysis and research of intelligence and complaints received;
    • Investigate possible violations of New Brunswick financial and consumer services regulatory law;
    • Review investigations of financial and consumer services regulatory regimes infractions and conducts hearings before the Tribunal;
    • Make legal determinations as to whether regulatory or criminal laws have been breached by conducting appropriate analysis and preparing appropriate reports;
    • Monitor enforcement action taken elsewhere and liaise with counterparts in other jurisdictions;
    • Remain informed of current market and industry trends and issues;
    • Provide legal opinions and day-to-day advice to Commission staff on administrative, procedural and policy issues involving enforcement.

    Your qualifications include excellent verbal and written communication skills, in both official languages, an engaging personality and good at dealing with people. You have excellent organizational skills and an inquisitive and analytical mind and thrive on figuring things out. This position reports to the Director of Enforcement.

    Other qualifications include:

    • A degree in law, eligibility for membership in the Law Society of New Brunswick and a minimum of five years of legal experience;
    • An ability to analyze the legal issues that arise during investigations and enforcement actions;
    • Experience writing clear and effective investigative reports;
    • You are comfortable using a computer as a document preparation, research and investigative tool, and are able to prepare documents on their own with ease;
    • The ability to apply various investigative techniques including interviewing and interrogation skills;
    • Good working knowledge of securities, banking and corporate legislation; administrative law/enforcement processes; what market participants do and how they do it.
    to apply

    The Financial and Consumer Services Commission offers a competitive salary and benefit package as well as excellent opportunities for personal growth and challenge. If you are interested in being a key part of this team, please forward your résumé and covering letter to:

    Financial and Consumer Services Commission
    ATTN: Human Resources Officer
    Email: Information@fcnb.ca

    For more information about this position please visit our website at www.fcnb.ca or call the Human Resources Officer at (506) 643-7858.