Reporting to the Director, Enforcement and Regulatory Affairs (the “Director”) of the Division, the Legal Counsel represents the Division before the Exchange’s administrative and disciplinary bodies, drafts legal opinions on all issues of interest to the Division, including matters related to administrative and disciplinary law, and serves as a resource person for the Investigations Unit.
Responsibilities : Acts as the Exchange’s Counsel and, as such, represents the Exchange on disciplinary matters in front of the Exchange’s Disciplinary Committee and/or any other decision-making authority;
- Recommends experts, prepares witnesses, develops argument plans, conducts legal research, negotiates settlements, presents disciplinary matters to the administrative or legal decision makers with jurisdiction over all Exchange-related issues;
- Advises the Investigations Unit on all matters related to evidence and on regulatory interpretation or enforcement based on the facts collected, and provides recommendations to the Investigations Unit;
- Prepares and drafts various documents, including enforcement pleadings, regulations, circulars, internal interpretation bulletins, policies and processes;
- Contributes to public representation initiatives on regulatory reforms regarding derivative instruments;
- Collaborates on any of the Division’s projects and performs any other related task assigned by the Legal Counsel’s immediate supervisor or by the Vice-President and Chief Regulatory Officer.
Skills and Experience: Bachelor of Law
- Member of the Quebec Bar
- Knowledge of disciplinary, privacy, commercial and corporate law
- 5 to 7 years’ experience in litigation, disciplinary law and/or regulatory investigations, and administrative law
- Work experience in financial markets
- Knowledge of the rules of evidence applicable to disciplinary proceedings
- Bilingual (spoken and written English and French)
- Strong writing skills in both English and French
- Excellent legal reasoning
- Excellent judgment
- Sense of organization and ability to manage priorities
- Team spirit
- Canadian Securities Course
- Derivative products training
- Knowledge of the Google environment in the workplace
TMX is committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.