Enforcement Counsel

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The Enforcement Counsel will provide legal support for regulatory investigations.  The Enforcement Counsel will conduct disciplinary proceedings before hearing panels of the Investment Industry Regulatory Organization of Canada and related hearings and reviews before the Securities Commissions. 

Key Responsibilities:

  • Conduct and assist with disciplinary hearings
  • Provide legal support and advice on all aspects of the investigation and prosecution of breaches of IIROC rules
  • Evaluate investigation reports and provide recommendations on whether to proceed with disciplinary action and sanctions
  • Ensure the timely and proper management of disciplinary and approval/fitness files having regard to factors such as the age of the file, available resources, the nature of the conduct being investigated and the public interest
  • Conduct legal research
  • Provide support to other Enforcement projects and/or initiatives

Education/Experience:

  • LL.B. or J.D.
  • Membership in The Law Society of British Columbia
  • 6+ years of litigation experience
  • The Canadian Securities Course and Conduct and Practices Handbook Exam are considered assets

Key Skills and Competencies:

  • Working knowledge of administrative law and principles including the exercise of prosecutorial discretion, procedural fairness and the rules of natural justice
  • Experience in securities litigation or the prosecution or defense of professional discipline matters will be considered an asset
  • Knowledge of and experience with the operation of investment dealers and the securities markets, sales practices and rules/regulations of the securities industry will be considered an asset
  • Demonstrated ability to analyze factually and legally complex matters
  • Experience in using e-discovery and litigation management applications
  • Strong interpersonal and teamwork skills
  • Excellent organization and presentation skills

 

If applying to this opportunity, please include a cover letter and resume.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.


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