Enforcement Counsel

2 weeks ago

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

**Position Title: Enforcement Counsel (MFD)**

**Department: Prairie Office Department**

**Location: Toronto**

**Status: Permanent Full-time (Hybrid)**

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.

The Enforcement Counsel acts as New SRO staff counsel in discipline proceedings conducted by the New SRO pursuant to the New SRO’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 the New SRO 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

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.

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