Enforcement Counsel Jobs

Position Title: Enforcement Counsel (MFD)

Department: Prairie Office Department

Location: Calgary

Status: Permanent Full-time (Hybrid)

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) strives to uphold high regulatory and investment industry standards to fulfill our mandate to protect investors and support healthy capital markets in Canada.

The Enforcement Counsel acts as CIRO staff counsel in discipline proceedings conducted by the CIRO pursuant to the CIRO’s role as a regulatory organization responsible for the regulation of the business and financial conduct of its Members and their approved persons.

Major Responsibilities:

• Represent CIRO in the conduct of hearings and settlement hearings before District Hearing Committees throughout Canada.
• Provide legal advice to the Investigations group on ongoing investigations and general investigation issues.
• Review completed investigation reports and supporting documentation to determine whether disciplinary proceedings should be instituted and against whom; make recommendations regarding any additional investigative steps required to support contemplated disciplinary proceedings and consult with Investigation staff in that regard.

Education/Experience:

• The Canadian Securities Course, the Branch Managers Course or the Chief Compliance Officers Qualifying Exam would be an asset.
• Bachelor of Laws degree (or recognized equivalent). Membership in good standing with the Law Society of a Canadian provincial or territorial jurisdiction.
• Minimum three years of litigation experience preferably in securities and regulatory enforcement.

Key Skills and Competencies:

• Excellent organization and presentation skills
• Experience in using e-discovery and litigation management applications is an asset
• Knowledge of administrative law, the rules of evidence and securities law including mutual fund dealer rules
• Knowledge of and experience with the operation of mutual fund dealers, investment dealers and the securities markets, sales practices and the rules/regulations of the securities industry is an asset
• Strong interpersonal and teamwork skills
• Ability to analyze factually and legally complex matters and organize and plan the prosecution of regulatory violations arising from such matters

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

CIRO 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.

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