Regulatory & Governance Coordinator - Toronto - Advocis

Description

Job Title: Regulatory & Governance Coordinator

Department: The Institute / Office of the General Counsel

Reports To: Registrar, The Institute (lead supervisor) and General Counsel

Direct Reports: None

Employment Type: Full-time, Permanent

Location: Toronto, ON

Work Model: Hybrid

Salary Range: $58,000 – $68,000

About Advocis and the Institute

Advocis, The Financial Advisors Association of Canada (TFAAC), is the country's largest voluntary professional membership association for financial advisors and planners. With more than a century of history, Advocis plays a national leadership role in advancing professionalism, consumer protection, and public confidence in financial advice through advocacy with governments and regulators, professional development, and a coast-to-coast chapter network.

The Institute for Advanced Financial Education (The Institute) is an affiliated organization of Advocis and serves as the designation-granting and standards-setting body for advanced financial services credentials, including the CLU, CHS, and PFA designations. The Institute operates under its own governance framework and is responsible for accreditation, compliance, and discipline processes that uphold professional standards and regulatory expectations in the public interest.

Together, Advocis and The Institute operate in a shared organizational environment with distinct mandates: Advocis focuses on advocacy and member representation, while The Institute provides independent oversight of professional designations and standards.

Position Overview

The Regulatory and Governance Coordinator is a shared resource supporting both The Institute and the Office of the General Counsel. The role provides governance, regulatory, compliance, corporate maintenance, and document production support across Board and Committee administration, complaints and discipline processes, designation and accreditation activities, regulatory audits, annual corporate filings, and advocacy initiatives.

The role operates across predictable monthly governance cycles and episodic work driven by regulatory activity (e.g. industry consultations and regulatory audits), complaints and discipline matters, and advocacy priorities as they arise. Success in this role requires flexibility, independence, sound judgment, and comfort working across two offices with shifting priorities. The role is expected to proactively manage competing deadlines, maintain a forward-looking governance and regulatory calendar, and escalate risks and issues to the Registrar and/or General Counsel with recommended next steps.

Key Responsibilities

1. Governance & Committee Administration

• Coordinate and administer Institute Board of Trustees and committee meetings, including the Conduct and Discipline Committee and Standards and Accreditation Committee.
• Coordinate and administer TFAAC Board and committee meetings in support of the General Counsel.
• Schedule meetings, manage logistics (virtual and in-person), and coordinate attendance.
• Prepare agendas and meeting materials, including contributing to agenda development to ensure meetings are effective and decision ready.
• Take accurate minutes and maintain complete, organized governance records, resolutions, and action logs.
• Liaise with Trustees, committee members, senior management, Accreditation Consultants, regulators, and external stakeholders.
• Monitor and update Institute and Advocis website information related to governance, regulatory, and policy matters.
• Maintain governance "source of truth" records (e.g., charters, terms of reference, trustee/committee rosters, attestation/COI tracking, action registers) and coordinate follow-up to closure across owners.
• Support governance best practices by preparing recurring annual-cycle items (e.g., meeting schedules, workplans, orientation packages) and ensuring materials are complete, consistent, and decision-ready.

2. Regulatory, Compliance & Discipline Support

• Support complaints and discipline processes, including intake, assessment, and file coordination.
• Coordinate Hearing Panel meetings, including on-site and off-site logistics where required.
• Follow up with non-compliant designation holders using approved processes, including tracking responses, issuing notices, and initiating escalation where necessary.
• Support FSRA-related regulatory activity, including audits and compliance reviews as they occur.
• Assist with implementation of annual audits of CLU, CHS, and PFA designation holders.
• Prepare and organize regulatory filings, supporting documentation, and materials required to implement audit or regulatory recommendations.
• Provide document support related to governance, regulatory, compliance, and discipline matters.
• Coordinate responses to regulatory information requests by tracking inputs, consolidating materials, and ensuring review/approval steps are completed on time.

3. Designation, Accreditation & Certification Administration

• Support designation and accreditation processes, including course accreditation.
• Assist with issuing certificates and maintaining designation records.
• Support regular review and updating of designation standards (CLU, CHS, PFA, PIA).
• Support review and implementation of accreditation policies and procedures.
• Liaise with Accreditation Consultants and external partners as required.
• Maintain consistent templates and controlled documentation for standards/accreditation changes (versioning, approvals, publishing/website updates, stakeholder notifications as directed).

4. Corporate Maintenance & Advocacy Support

• Assist with corporate maintenance matters for TFAAC and related entities, including annual filings and corporate records support.
• Provide administrative and document production support for advocacy initiatives, including preparation and formatting of submissions, summaries, and supporting materials.
• Monitor and organize information related to legal, regulatory, and policy developments (e.g., MGA-related advocacy, regulatory commentary, and reflection).
• Support advocacy work episodically as issues arise at the provincial and national level.

Qualifications

• Post-secondary education in business, law (e.g., law clerk), public administration, financial services compliance, regulatory compliance or a related field.
• 4–5 years of experience in governance, regulatory compliance, corporate secretarial, executive administration, or similar roles, ideally in a regulated or compliance-driven environment.
• Experience supporting boards, committees, and formal governance processes, with the ability to interpret and apply policies, procedures, and regulatory requirements.
• Demonstrated sound judgment, discretion, professionalism, and the ability to handle sensitive and confidential information.
• Strong written and verbal communication skills, including minute-taking and document preparation.
• Highly organized, detail-oriented, and comfortable managing shifting priorities across multiple stakeholders or offices.
• Experience in complaints, discipline, dispute resolution, audits, or hearings is an asset.
• Experience in the financial services industry or with financial-industry associations is an asset.
• Regulatory Officer, Law Clerk, or Paralegal experience is an asset.
• Experience using AI in a regulated environment is an asset.
• Proficiency in Microsoft 365 and governance platforms such as OnBoard; experience with iMIS an asset.

What Success Looks Like

• Board and committee meetings are well-run, well-documented, and consistently supported.
• Complaints, discipline, audits, and regulatory processes are administered accurately and professionally.
• Designation, accreditation, and certification activities are well-organized and compliant.
• Corporate maintenance and annual filings are completed accurately and on time.
• The Registrar, The Institute and the General Counsel receive reliable support from a shared resource.
• The role adapts effectively to episodic regulatory and advocacy demands while maintaining strong governance fundamentals.

How to Apply & Our Commitment

Thank you for your interest. We appreciate all applications; however, only those selected for the next stage will be contacted.

The Company is committed to an inclusive, accessible recruitment process. If you require accommodation at any stage of the selection process, please inform us, and we will work with you to meet your needs in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act (AODA).