Compliance and Registrant Regulation Branch
Full-Time Contract (January 4, 2021 – February 25, 2022)
The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The Commission’s mandate is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in capital markets. We offer a diverse, fair and flexible work environment and take pride in our challenging and rewarding work.
The Compliance and Registrant Regulation (CRR) Branch oversees the dealers, advisers and investment fund managers that the public relies upon when investing in securities. Using a risk-based approach, CRR focuses on initial and ongoing registration and compliance reviews of registrants. CRR also develops significant policy/legislative initiatives affecting registered firms and individuals, at both the Ontario and national levels. As well, the CRR Branch administers the Opportunity to be Heard process and other administrative processes that deal with registrant misconduct as part of the compliance – enforcement continuum. The CRR Branch consists of integrated, multi-disciplinary teams including professional staff (chartered accountants and lawyers), registration officers (corporate and individual), and support staff.
The Compliance and Registrant Regulation (CRR) Branch is currently hiring for a 14 month contract opportunity as Legal Counsel to join their team.
The Legal Counsel will work independently and as part of the Registrant Conduct Team. The key duties and responsibilities of this role are to:
As a resource, you will provide advice to other branches of the Commission for issues relating to registrant conduct.
During the current epidemic, all work is carried out remotely from home. Internal and external meetings, interviews and oral administrative proceedings are all currently being conducted via videoconference.
As the ideal candidate for this role you have a minimum of 5 years’ litigation experience and you are a member in good standing of the Law Society of Ontario. You have had significant experience conducting and leading proceedings before regulatory tribunals or courts. The successful candidate will have an understanding of Ontario securities law (in particular as it relates to registration), and will possess strong analytical, interviewing, advocacy (written and oral), and negotiation skills.
To be successful in this role, you have a high level of enthusiasm for the OSC’s mandate, you are an excellent communicator, conveying information clearly and persuasively, you are able to break down complex problems, research and seek out new information, analyze and anticipate obstacles and potential risks, develop appropriate recommendations and you are able to strategically assess the impact of various regulatory actions on stakeholders.
In your practice you are able to adapt and work effectively in a variety of situations and with various individuals and/or groups; and have the ability to prioritize tasks and duties, meet strict deadlines, as well as changing or substituting tasks to meet fluctuating demands.
Grow your career and make a difference working at the OSC.
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
Apply online by the revised deadline of November 6, 2020.
**Internal applicants: please apply using the Taleo profile created with your OSC email address**
The OSC is committed to providing an inclusive workplace environment that meets the accessibility needs of employees with disabilities. Please go to Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.