Legal Counsel, Proficiency

The Legal Counsel, Proficiency provides legal and regulatory support to the Registration Department on matters relating to proficiency and continuing education requirements of IIROC’s individual registrants.    

Key Responsibilities:

  • Provide legal, policy and risk management advice to IIROC’s  Registration Department (Proficiency Group).  on a national basis.
  • Participate in the development and advancement of policy and operational initiatives. Conduct in-depth regulatory reviews of Proficiency operational areas and policy issues (e.g., investment dealer continuing education), make recommendations, draft reports, memoranda and Notices, deliver presentations, operationalize recommendations.
  • Oversee and operationalize proficiency protocols and agreements and interface with external course providers and IIROC advisory committees.
  • Legal project management, development and implementation of protocols and processes with respect to proficiency and continuing education course recognition and procurement.
  • Contract drafting, review and interpretation.
  • Draft rule proposals, rule interpretation, provide advice to internal parties, respond to external inquiries.
  • Interface with IIROC advisory committees.
  • Stay abreast of relevant regulatory proposals and activities of other regulators.
  • Review proficiency exemptions and provide support with respect to proficiency exemption briefs and hearings as needed.

 

Education/Experience:

  • Law Degree
  • Called to the Ontario Bar
  • 5 to 6 years’ private practice, in-house and/or regulatory experience
  • Experience and ability to interpret advanced legal, economic and financial research/information
  • Successful completion of IIROC proficiency courses is an asset.

Key Skills and Competencies:

  • Excellent judgment, problem-solving and analytical skills
  • Excellent written and oral communication skills
  • Expertise in securities regulation; registration expertise is an asset
  • Advanced knowledge and understanding of the Canadian regulatory landscape and IIROC and CSA rules and legislation
  • Understanding of IIROC’s functions and operational capabilities
  • Understanding of the Proficiency field and the IIROC, CSA, MFDA proficiency regimes
  • Knowledge of relevant foreign regulatory systems, regulators, rules and legislation
  • Keen interest in proficiency, adult education and standard setting in a regulatory context

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


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