Enforcement Counsel

6 days 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 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**:

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

**Education/Experience**:

- Bachelor of Laws degree
- Membership in the Law Society of Ontario
- 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

**Key Skills and Competencies**:

- Skills in analyzing factually and legally complex matters and in organizing and planning the prosecution of regulatory violations arising from such matters
- Advanced knowledge of administrative law, the rules of evidence and securities law including Investment Dealer and Partially Consolidated Rules and UMIR
- Knowledge of and experience with the operation of investment dealers and the securities markets, sales practices and the rules/regulations of the securities industry
- 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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