Vice President, Enforcement

The Mutual Fund Dealers Association of Canada is the self-regulatory organization for mutual fund dealers in Canada. The MFDA is committed to delivering responsible and effective regulation; strengthening collaboration, knowledge and expertise, and promoting investor confidence.    

 

Vice President, Enforcement  

As Vice President, Enforcement you will be responsible for the management of the Enforcement Department of the MFDA, which handles public inquiries, the assessment and investigation of complaints and other intake matters regarding MFDA Members and their Approved Persons, and the prosecution of any disciplinary matters resulting from such investigations. This position reports to the President and CEO.    

 

Your job duties will include but are not limited to:   

 • Setting the strategic direction for the MFDA’s enforcement activities, in consultation with other members of MFDA management;     

• Maintaining a national Enforcement program that meets the needs of the MFDA, its Members, the CSA, and the investing public.     

• Managing the operations of the Enforcement department in collaboration with the Enforcement management team;      

• Ensuring that sufficient arrangements are in place regarding the operation of the department, such as management, staffing, processes, policies and procedures, and staff training, to enable the department to fulfil its mandate;     

• Providing effective reporting on enforcement activity and regulatory issues to the MFDA board and management, CSA and other external bodies and the public;    

 • Maintaining effective working relationships with provincial securities administrators, other self-regulatory organizations, and administrative and law enforcement agencies on matters with a view to harmonizing, streamlining and cooperating on enforcement activity;     

• Communicating and engaging with stakeholders as appropriate;     

• Assisting in the development of new and amended MFDA By-laws, Rules, Policies, Notices and Bulletins relating to enforcement activity;     

• Undertaking additional tasks as directed by the President & CEO.    

 

 You must possess:   

• Bachelor of Laws Degree and be a member in good standing with the Law Society of a Canadian provincial or territorial jurisdiction.     

• At least ten (10) years’ experience conducting regulatory litigation relating to self-regulatory organizations or securities commissions, preferably in the role of prosecutor and counsel providing advice on investigations.     

• At least three (3) years’ management experience, preferably involving a large team of lawyers, accountants or other staff working in a regulatory environment with a strong record of timely and effective performance      

• At least three (3) years’ experience regulating or working in the operation of mutual fund dealers and the securities market, including sales practices, business conduct and financial compliance activities, supervision and the requirements applicable to the securities industry.    

• Excellent knowledge pertaining to the management of professional staff on a national basis, including the ability to set and achieve strategic objectives, set and manage a budget, and provide training/advice/guidance to Enforcement Counsel.     

• Excellent knowledge of the law of evidence, administrative law, conduct of administrative hearings, and the conduct of litigation including both trial and appellate advocacy.     

• Excellent working knowledge of administration of due process and procedural fairness including the exercise of prosecutorial discretion and the rules of natural justice.     

• Excellent working knowledge of securities legislation and SRO requirements, and the operation and structure of regulation of the securities industry, particularly in the internal controls, sales and financial compliance.     

• Good working knowledge and background in securities policy development and issues.     

• The Canadian Securities Course and the Branch Manager, Chief Compliance Officer or Conduct and Practices Handbook course.     

• The ability to travel as necessary.    

 

Please apply using the Apply button.

All applications will be treated on a confidential basis.     

We thank all applicants; however only those candidates selected for interviews will be contacted.    

Reasonable Accommodations will be made to those qualified candidates with disabilities upon request.    


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