Enforcement Counsel - (Calgary) The Enforcement Counsel acts as New SRO staff counsel in discipline proceedings conducted by the New SRO pursuant to the New SRO's role as a regulatory organization responsible for the regulation of the business and financial conduct of its Members and their approved persons.
Major Responsibilities: - Represent the New SRO in the conduct of hearings and settlement hearings before District Hearing Committees throughout Canada.
- Provide legal advice to the Investigations group on ongoing investigations and general investigation issues.
- Review completed investigation reports and supporting documentation to determine whether disciplinary proceedings should be instituted and against whom; make recommendations regarding any additional investigative steps required to support contemplated disciplinary proceedings and consult with Investigation staff in that regard.
Education/Experience:- Bachelor of Laws degree (or recognized equivalent). Membership in good standing with the Law Society of a Canadian provincial or territorial jurisdiction.
- The Canadian Securities Course, the Branch Managers Course or the Chief Compliance Officers Qualifying Exam would be an asset.
- Minimum three years of litigation experience preferably in securities and regulatory enforcement.
