Enforcement Counsel

2 weeks ago

Toronto, Canada CIRO OCRI Full time

**Position Title: Enforcement Counsel**

**Department: Prairie Office Department**

**Location: Toronto**

**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**:

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

**Key Skills and Competencies**:

- Ability to analyze factually and legally complex matters and organize and plan the prosecution of regulatory violations arising from such matters
- 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
- Excellent organization and presentation skills

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.

LI-HYBRID #hiring

  • Enforcement Counsel

    4 weeks ago

    Toronto, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

    **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...

  • Counsel, Enforcement

    1 month ago

    Toronto, Canada Canadian Public Accountability Board Full time

    Welcome to CPAB - Canada’s Public Company Audit Firm Regulator The Canadian Public Accountability Board (CPAB) is Canada’s independent, public company audit regulator. Charged with overseeing audits performed by registered public accounting firms, CPAB contributes to public confidence in the integrity of financial reporting and is committed to...

  • Enforcement Counsel

    1 month ago

    Toronto, ON, Canada MFDA Investor Protection Corporation Full time

    As a self-regulatory organization, the New Self-Regulatory Organization of Canada (New SRO) strives to uphold high regulatory and investment industry standards to fulfill our mandate to protect investors and support healthy capital markets in Canada. Enforcement Counsel (Toronto) The Enforcement Counsel acts as New SRO staff counsel in discipline...

  • Enforcement Counsel

    1 month ago

    Old Toronto, Canada MFDA Investor Protection Corporation Full time

    As a self-regulatory organization, the New Self-Regulatory Organization of Canada (New SRO) strives to uphold high regulatory and investment industry standards to fulfill our mandate to protect investors and support healthy capital markets in Canada.Enforcement Counsel (Toronto)The Enforcement Counsel acts as New SRO staff counsel in discipline proceedings...

  • Enforcement and Legal Counsel

    4 weeks ago

    Toronto, Canada Technical Standards and Safety Authority Full time

    **About Us**: Since 1997, the Technical Standards and Safety Authority (TSSA) has delivered public safety services on behalf of the government of Ontario. With headquarters in west Toronto, the TSSA is a self-funded, not-for-profit organization that employs approximately 400 staff across Ontario. The roles within the TSSA are as diverse as the Province we...

  • Litigation Counsel I

    1 month ago

    Toronto, Canada Ontario Securities Commission Full time

    Enforcement Branch Fixed Term (Fixed Term), Full time Closing Date: February 14, 2024 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 mandate of the OSC is to provide protection...

  • Litigation Counsel II

    4 days ago

    Toronto, ON, Canada ZSA Legal Recruitment Full time

    Litigation Counsel II Enforcement Branch Permanent, Full Time The Enforcement Branch supports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement...

  • Litigation Counsel II

    4 days ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Litigation Counsel II Enforcement Branch Permanent, Full Time TheEnforcement Branchsupports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement...

  • Litigation Counsel II

    4 days ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Litigation Counsel II Enforcement Branch Permanent, Full Time TheEnforcement Branchsupports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement...

  • Litigation Counsel II

    5 days ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Litigation Counsel II Enforcement Branch Permanent, Full Time TheEnforcement Branchsupports the OSC in delivering fair, vigorous and timely enforcement. The Enforcement Branch investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement...

  • Senior Litigation Counsel

    1 week ago

    Toronto, Canada OSC Full time

    Regular, Full timeClosing Date: May 24, 2024 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 mandate of the OSC is to provide protection to investors from unfair, improper or...

  • Executive Vice President, Enforcement

    6 days ago

    Toronto, ON, Canada ZSA Legal Recruitment Full time

    Toronto The Ontario Securities Commission is an independent Crown agency that regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants. The OSC exercises its regulatory oversight function through the administration and enforcement of Ontario’s...

  • Executive Vice President, Enforcement

    1 week ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Toronto The Ontario Securities Commission is an independent Crown agency that regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants. The OSC exercises its regulatory oversight function through the administration and enforcement of Ontario’s...

  • Executive Vice President, Enforcement

    1 week ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Toronto The Ontario Securities Commission is an independent Crown agency that regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants. The OSC exercises its regulatory oversight function through the administration and enforcement of Ontario’s...

  • Executive Vice President, Enforcement

    2 weeks ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    Toronto The Ontario Securities Commission is an independent Crown agency that regulates Ontario’s capital markets by making rules that have the force of law and by adopting policies that influence the behaviour of capital markets participants. The OSC exercises its regulatory oversight function through the administration and enforcement of Ontario’s...

  • Legal Counsel II

    1 week ago

    Toronto, Canada OSC Full time

    DepartmentFixed Term (Fixed Term), Full timeClosing Date: May 31, 2024 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 mandate of the OSC is to provide protection to investors from...

  • Senior Litigation Counsel

    2 weeks ago

    Toronto, ON, Canada ZSA Legal Recruitment Full time

    QSOT, Enforcement Division 10+ years | Toronto 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 mandate of the OSC is to provide protection to investors from unfair, improper, or...

  • Senior Litigation Counsel

    2 weeks ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    QSOT, Enforcement Division 10+ years | Toronto 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 mandate of the OSC is to provide protection to investors from unfair, improper, or...

  • Senior Litigation Counsel

    2 weeks ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    QSOT, Enforcement Division 10+ years | Toronto 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 mandate of the OSC is to provide protection to investors from unfair, improper, or...

  • Senior Litigation Counsel

    2 weeks ago

    Old Toronto, Canada ZSA Legal Recruitment Full time

    QSOT, Enforcement Division 10+ years | Toronto 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 mandate of the OSC is to provide protection to investors from unfair, improper, or...