Enforcement – Litigation
The Enforcement Counsel, in conjunction with Senior Enforcement Counsel, will work with the Enforcement team in representing staff at discipline proceedings before hearing panels of the Investment Industry Regulatory Organization of Canada, at hearings and reviews before the Securities Commissions, and on appeals before the courts. In addition, the Enforcement Counsel will provide advice to investigators, registration and compliance staff on regulatory matters.
- Conduct and assist with disciplinary hearings
- Provide legal support and advice on all aspects of the investigation and prosecution of breaches of IIROC rules
- Evaluate investigation reports and provide recommendations on whether to proceed with disciplinary action and sanctions
- Ensure the timely and proper management of disciplinary and approval/fitness files having regard to factors such as the age of the file, available resources, the nature of the conduct being investigated and the public interest
- Conduct legal research
- Provide support to other Enforcement projects and/or initiatives
- LL.B. or J.D.
- Membership in the Law Society of Upper Canada
- At least 3 years of litigation experience
- The Canadian Securities Course and Conduct and Practices Handbook Exam are considered assets
Key Skills And Competencies
- Working knowledge of administrative law and principles including the exercise of prosecutorial discretion, procedural fairness and the rules of natural justice
- Experience in securities litigation or the prosecution or defense of professional discipline matters will be considered an asset
- Knowledge of and experience with the operation of investment dealers and the securities markets, sales practices and rules/regulations of the securities industry will be considered an asset
- Demonstrated ability to analyze factually and legally complex matters
- Experience in using e-discovery and litigation management applications
- Strong interpersonal and teamwork skills
- Excellent organization and presentation skills
If applying to this opportunity, please include a cover letter and resume.
While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.