JOB PROFILE
Position #00048201
TITLE:
SUPERVISOR, CONDUCT SUPERVISION
CLASSIFICATION: BUSINESS LEADERSHIP
MINISTRY:
FICOM/MINISTRY OF FINANCE
WORK UNIT: FID-CONDUCT SUPERVISION
SUPERVISOR TITLE: DIRECTOR, CONDUCT SUPERVISION
SUPERVISOR POSITION #: 00071831
JOB OVERVIEW
To respond to public, consumer, and regulated financial sector complaints and inquiries related to the acts and
regulations administered by the Financial Institutions Division.
ACCOUNTABILITIES
•
Manage resolution or referral of complex complaints and inquiries from the general public and other sources
related to the Credit Union Incorporation Act, Financial Institutions Act, Insurance Act, and Insurance (Captive
Company) Act and supporting regulations
•
Prepare parts of the investigation plan and refer complaints to the appropriate expert if an investigation may be
warranted
•
Conduct monitoring (regular review of information on institutions, the industry and environment) and on-site
reviews (intensive collection and review of information identified in the market conduct planning process)
•
Undertake special market conduct projects
•
Draft correspondence on market conduct issues for the Executive Director, Deputy Superintendent,
Superintendent and the Commission
•
Collaborate with other regulators to identify trends, and resolve or respond to complaints
•
Contribute to the development of a market conduct management strategy for provincially regulated financial
institutions
•
Present proposed decisions to the Financial Institutions Division Regulation Panel
•
Advise institutions in the event there are material deficiencies and take, or require management or boards to
take necessary corrective measures expeditiously
•
Monitor and evaluate system-wide or sector issues that may impact institutions negatively
JOB REQUIREMENTS
•
Education: University degree in field related to economics, business, finance, law or equivalent
•
Experience: 5 years’ experience in compliance or regulatory work in the financial services sector, preferably in
the insurance industry
•
Knowledge of financial analysis techniques and business operational procedures
•
Demonstrated experience in dispute resolution and conflict management
Date: July 29, 2017
•
Demonstrated ability to interpret and apply complex legislation to private industry practices
•
Working knowledge of the Freedom of Information and Protection of Privacy Act and the Personal Information
Protection and Electronic Documents Act
•
Ability to write clear and concise documentation, reports, briefing notes, etc.
•
Successful completion of security screening requirements of the BC Public Service, which may include a criminal
records check, and/or Criminal Records Review Act check, and/or enhanced security screening checks as
required by the ministry
BEHAVIOURAL COMPETENCIES
Analytical Thinking is the ability to understand a situation by breaking it apart into smaller pieces, or tracing
the implications of a situation in a step-by-step way. Analytical thinking includes organizing the parts of a
problem, situation, etc. in a systematic way; making systematic comparisons of different features or aspects;
setting priorities on a rational basis; identifying time sequences, causal relationships or if-then relationships.
Makes Complex Plans or Analyses

Uses several analytical techniques to break apart complex problems into component parts.

Uses several analytical techniques (e.g., risk assessment, building business cases) to identify several
solutions and weighs the value of each.
Information Seeking is driven by an underlying curiosity and desire to know more about things, people or
issues. It implies going beyond the questions that are routine or required in the job. It includes “digging” or
pressing for exact information; resolution of discrepancies by asking a series of questions; or less-focused
environmental “scanning” for potential issues or miscellaneous information that may be of future use.
Does Research

Makes a systematic effort over a limited period of time to obtain needed data or feedback, or in-depth
investigation from unusual sources; or does formal research through newspapers, magazines,
computer search systems, or other resources.

This may include legal, financial and or/community research.
Problem Solving/Judgement is the ability to analyze problems systematically, organize information, identify
key factors, identify underlying causes and generate solutions
Sees Multiple Relationships

Breaks down complex situations into manageable parts in a systematic way.

Recognizes several likely causes of events, or multiple consequences and undertakes activities
accordingly.

Acquires new information and applies knowledge to analyze issues and resolve problems.
Listening, Understanding and Responding is the desire and ability to understand and respond effectively to
other people from diverse backgrounds. It includes the ability to understand accurately and respond
effectively to both spoken and unspoken or partly expressed thoughts, feelings and concerns of others. People
who demonstrate high levels of this competency show a deep and complex understanding of others, including
cross-cultural sensitivity.
Date: July 29, 2017
Understands and Responds to Underlying Issues

Demonstrates the ability to see things from another's perspective.

Understands why people behave in a certain way in given situations; accurately assesses root causes of
individual's behaviours.

Responds to people's concerns in a proactive manner that promotes long term solutions.
Commitment to Continuous Learning involves a commitment to think about the ongoing and evolving needs
of the organization and to learn how new and different solutions can be utilized to ensure success and move
the organization toward.
Keeps Current with Business/Organizational Changes

Stays current in a demanding and changing business/organizational environment with new
approaches, tools, methods and/or technologies that may impact the business.

Quickly assimilates and understands a constant stream of new information.
Results Orientation is a concern for surpassing a standard of excellence. The standard may be one’s own past
performance (striving for improvement); an objective measure (achievement orientation); challenging goals
that one has set; or even improving or surpassing what has already been done (continuous
improvement). Thus, a unique accomplishment also indicates a Results Orientation.
Service Orientation implies a desire to identify and serve customers/clients, who may include the public, coworkers, other branches/divisions, other ministries/agencies, other government organizations, and nongovernment organizations. It means focusing one’s efforts on discovering and meeting the needs of the
customer/client.
Teamwork and Co-operation is the ability to work co-operatively within diverse teams, work groups and
across the organization to achieve group and organizational goals. It includes the desire and ability to
understand and respond effectively to other people from diverse backgrounds with diverse views.
Date: July 29, 2017