Enforcement Counsel (Toronto)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.
Key Skills and Competencies:- Ability to analyze factually and legally complex matters and organize and plan the prosecution of regulatory violations arising from such matters
- Knowledge of administrative law, the rules of evidence and securities law including mutual fund dealer rules
- Knowledge of and experience with the operation of mutual fund dealers, investment dealers and the securities markets, sales practices and the rules/regulations of the securities industry is an asset
- Strong interpersonal and teamwork skills
- Excellent organization and presentation skills
- Experience in using e-discovery and litigation management applications is an asset
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
