Legal Counsel, Proficiency
- Toronto, ON
- Lawyer - In House Counsel
- Area of Practice
- Corporate/Commercial Law, Regulatory
- Job Type
- Contract, Full time
- Minimum Level of Education
- Professional degree - LL.B
- Minimum Number of Years in Practice
- 4-10 years
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.
- 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.
- 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.