Compliance Specialist (Financial Services)

The Financial and Consumer Services Commission of New Brunswick (Commission) is a leader in integrated financial and consumer services regulation. The Commission’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, cooperatives, unclaimed property, and a wide range of consumer legislation. We’re looking for a Compliance Officer to lead on-site and desk reviews of trust and financial records, disclosure documents, and industry practices to ensure compliance with applicable legislation.
As our Compliance Officer, you’ll work closely with the Senior Compliance Officer and the Director of Consumer Affairs, independently conducting compliance reviews and specialized examinations across multiple regulated industries—including mortgage brokerages/administrators, payday lenders, real estate agents, and pre-arranged funeral service providers.
Compliance review planning, execution & reporting
You will plan and carry out on-site and desk reviews to check financial stability, business practices, and compliance with the law.
You will work with the Senior Compliance Officer on potential issues, alternative approaches, and more complex review situations.
Special examinations & Risk-based procedures
You will lead specialized examinations based on risks identified by the Director of Consumer Affairs in areas such as mortgage brokering, payday lending, real estate, and funeral services.
You will clearly explain your results and recommendations in final reports reviewed by senior leadership.
Procedure development & Continuous improvement

• Create new review procedures and suggest improvements to existing ones to keep up with industry changes, risks, and regulatory updates.
• You will support investigative matters as required, working closely with subject matter experts and senior compliance staff.

You will contribute to a collaborative regulatory environment that prioritizes consumer protection, transparency, and legislative compliance.
You will stay current on industry practices, emerging risks, and regulatory changes to inform review strategies.
Bachelor’s degree in Business Administration, Commerce or a related field;

• Experience providing detailed analysis on recommendations for compliance;
• Skilled at expressing issues in plain language;
• Excellent communication skills, verbal and written in English and French; Willingness and availability to travel throughout the province.

An accounting designation (CPA) would be an asset; Knowledge of consumer protection legislation and compliance/investigation practices would be a definite asset.

The Financial and Consumer Services Commission offers a competitive salary and benefit package as well as excellent opportunities for personal growth and challenge. For more information about this position please visit our website at www.fcnb.ca or call the Human Resources Officer at Voir le numéro de téléphone sur cpanewbrunswick.ca.