Legal Counsel

The Senior Enforcement Counsel works with the Enforcement Department team in representing IIROC Staff in discipline hearings before our tribunal, at hearings before the Securities Commissions, and on judicial reviews or appeals before the courts.  As part of an integrated team approach, Senior Enforcement Counsel works with investigators and managers, which includes participating in witness interviews and providing legal support during the course of an investigation.  In addition, Senior Enforcement Counsel may provide support to Registration and Compliance staff including conducting registration or compliance regulatory proceedings.

Key Responsibilities:

•        Conduct disciplinary hearings involving violations of IIROC Dealer Member Rules and/or the Universal Market Integrity Rules (UMIR)

•        Represent IIROC staff on review hearings or appeals before the securities commissions or courts

•        Collaborate with the Investigations team in the conduct of investigations

•        Evaluate investigation findings to determine appropriate course of action and potential sanctions

•        Provide legal support and advice on all aspects of the investigation and prosecution of breaches of IIROC Rules and/or UMIR

•        Provide litigation support to other IIROC departments relating to other regulatory proceedings including registration hearings

•        Lead or participate in Enforcement Department policy projects or initiatives

Education/Experience:

•        Bachelor of Laws degree

•        Membership in the Law Society of Ontario

•        At least 10 years of litigation experience in criminal law, commercial law or regulatory law, preferably with some exposure to the role of prosecutor

•        Completion of the Canadian Securities Course and the Conduct and Practices Handbook Exam considered assets

Key Skills and Competencies:

•        Skills in analyzing factually and legally complex matters and in organizing and planning the prosecution of regulatory violations arising from such matters

•        Advanced knowledge of administrative law, the rules of evidence and securities law including IIROC rules and UMIR

•        Knowledge of and experience with the operation of investment dealers and the securities markets, sales practices and the rules/regulations of the securities industry

•        Experience in using e-discovery and litigation management applications

•        Strong interpersonal and teamwork skills

•        Excellent organization and presentation skills

 While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.

IIROC is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact humanresources@iiroc.ca.

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