Securities Regulation Expert

6 days ago


Toronto, Ontario, Canada Services OR LPSEC Full time

Job Responsibilities:

We are seeking a highly skilled Securities Law Clerk to join our team in either Montreal or Toronto. Key tasks for this role include managing CDS filings, NRD filings, and continuous disclosure filings on SEDAR+.

The successful candidate will be responsible for prospectus and investment fund filings on SEDAR+, including drafting ancillary documents for these filings. Additional duties include drafting material change reports, early warning reports, and news releases.

This role also involves assisting with filing exemptive relief applications and preparing fee memos and continuous disclosure documents, such as annual and interim certifications.

Key Qualifications:

  • A minimum of 5 years' experience working as a Securities Law Clerk in similar matters
  • Excellent team and client skills, as well as strong communication and writing skills
  • Familiarity with NI 31-103 and NI 33-109, the registration of advisors and dealers, and compliance/regulatory filings for registrants


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