Enforcement Counsel Jobs

Position Title: Enforcement Counsel_

Department: Enforcement – Litigation

Location: Toronto

Status: Permanent Full-time (Hybrid)

Enforcement Counsel will work with the Enforcement Department team in representing New SRO 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, Enforcement Counsel will work with investigators and managers, which includes participating in witness interviews and providing legal support during the course of an investigation. In addition, Enforcement Counsel may provide support to Registration and Compliance staff including conducting registration or compliance regulatory proceedings. Enforcement Counsel will frequently work with Senior Enforcement Counsel but will have opportunities to lead their own cases.

Key Responsibilities:

• Represent New SRO staff on review hearings or appeals before the securities commissions or courts
• Lead or participate in Enforcement Department policy projects or initiatives
• Collaborate with the Investigations team in the conduct of investigations
• Evaluate investigation findings to determine appropriate course of action and potential sanctions
• Conduct disciplinary hearings involving violations of Investment Dealer and Partially Consolidated Rules and/or the Universal Market Integrity Rules (UMIR)
• Provide litigation support to other New SRO departments relating to other regulatory proceedings including registration hearings
• Provide legal support and advice on all aspects of the investigation and prosecution of breaches of Investment Dealer and Partially Consolidated Rules and/or UMIR

Education/Experience:

• At least 3 years of litigation experience, preferably regarding securities litigation or the prosecution or defense of professional discipline matters Completion of the Canadian Securities Course and the Conduct and Practices Handbook Exam considered assets
• Membership in the Law Society of Ontario
• Bachelor of Laws degree

Key Skills and Competencies:

• Strong interpersonal and teamwork skills
• Excellent organization and presentation skills
• Advanced knowledge of administrative law, the rules of evidence and securities law including Investment Dealer and Partially Consolidated Rules and UMIR
• Experience in using e-discovery and litigation management applications, including Everlaw and Case Center
• Skills in analyzing factually and legally complex matters and in organizing and planning the prosecution of regulatory violations arising from such matters
• Knowledge of and experience with the operation of investment dealers and the securities markets, sales practices and the rules/regulations of the securities industry

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

New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.