The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, and enforcement activities. The OSC also contributes to national and global securities regulation development.
We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.
The Enforcement Division at the Ontario Securities Commission investigates and litigates breaches of securities laws in Ontario. Team members work closely with other securities regulators, self-regulatory organizations and law-enforcement agencies to enhance initiatives to fight misconduct. A strong visible enforcement presence assists in protecting investors from unfair, improper or fraudulent practices, fosters fair, efficient and competitive capital markets, fosters capital formation, and contributes to the stability of the financial system and the reduction of systemic risk.
The Regulatory Investigations Team within he Enforcement Division is recruiting for a Senior Investigation Counsel who will work collaboratively in a dynamic, fast-paced environment on a multi-disciplinary team to identify legal issues, conduct legal research and analysis and provide legal advice as it relates to investigations into potential breaches of Ontario securities law.
The Senior Investigation Counsel is responsible for identifying a variety of breaches of Ontario securities law, conducting necessary inquiries, analyzing the evidence obtained, and making recommendations for appropriate next steps. Using your subject-matter expertise in securities legislation and administrative law as well as your experience with investigative best practices, you will formulate strategies for effective and timely assessments and provide legal advice to other team members regarding assessments. You can expect to deal at times with novel issues and/or high-profile cases as a key member of the team.
This opportunity is considered to be a business critical role supporting the Enforcement Division.
What’s in it for you?
Investigate challenging issues and work on high profile and complex cases. Be an integral part of a leading-edge team leveraging an innovative mix of traditional investigative techniques, data analytics, and open-source intelligence analysis to investigate and prosecute complex cases of Securities Act violations.
Work in a collaborative, progressive, and professionally diverse team.
Make a difference and have a meaningful impact on investors and participants in Ontario’s capital markets.
What will you do?
Apply investigative and industry experience to assess referrals and develop a structured investigation plan, adjusting and adapting the investigation strategy as the case develops.
Work independently, or leading a multi-disciplinary investigation team, to establish priorities, identify critical tasks and advance investigations forward in a timely manner.
Collect, review and analyze documentary evidence and testimony in accordance with best practices, and identify and recommend solutions to potential issues.
Prepare legal research and analysis into novel legal issues.
Independently making thorough recommendations as to appropriate proceedings, considering potential defenses, and prepare evidence briefs that support the recommendation.
Draft and/or review legal documents such as settlement agreements, applications for enforcement proceeding, affidavits, witness statements, reviewing submissions and evidence material.
Work collaboratively with the litigator on the preparation for court or hearings (disclosure, witnesses, hearing briefs and settlement discussions)..
Testify as a fact witness on novel and on high-profile, broad and complex matters in both administrative hearings and external proceedings, including other jurisdictions, such as quasi-criminal proceedings, collections, Provincial court, receivership proceedings, etc.
Providing technical direction and/or specialty advice on the interpretation and/or development of policies, practices and projects including mentoring to junior staff being a go-to-person on other files to provide broader legal expertise and other subject matter expertise.
What do you need to be successful in this role?
We are looking for someone who is committed to working to protect investors and foster confidence in our capital markets. Candidates must have a minimum of 8 to 10 years of legal experience and be a lawyer in good standing with the Law Society of Ontario.
You have extensive experience in conducting investigations and inquiries independently. Preferably, you have deep experience in administrative, civil and/or criminal proceedings along with the Securities Act and the Statutory Powers Procedure Act. You have worked with data analysts, eDiscovery platforms, and open-source intelligence. Industry experience or knowledge in the capital markets is an asset. To build and maintain strong and effective working relationships with multiple stakeholders while managing the expectations of competing interests, you have excellent interpersonal and communication skills. Your diplomacy, tact and professional communication skills will support you in this role which requires problem-solving in a thoughtful and responsive manner that considers the various stakeholders and their interests.
Grow your career and make a difference working at the OSC.
* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *
We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.
The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.
The OSC is a proud partner with the following organizations: Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada
If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox [email protected].
Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.
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Ontario Securities Commission Toronto, Ontario, CAN Office
20 Queen Street West, Suite 1903, , Toronto, ON , Canada, M5H 3S8
