Enforcement Counsel- MFDA

As a self-regulatory organization, the New Self-Regulatory Organization of Canada (New SRO) strives to uphold high regulatory and investment industry standards to fulfill our mandate to protect investors and support healthy capital markets in Canada.

Enforcement Counsel - (Calgary)

The Enforcement Counsel acts as New SRO staff counsel in discipline proceedings conducted by the New SRO pursuant to the New SRO's role as a regulatory organization responsible for the regulation of the business and financial conduct of its Members and their approved persons.

Major Responsibilities:

• Represent the New SRO in the conduct of hearings and settlement hearings before District Hearing Committees throughout Canada.
• Provide legal advice to the Investigations group on ongoing investigations and general investigation issues.
• Review completed investigation reports and supporting documentation to determine whether disciplinary proceedings should be instituted and against whom; make recommendations regarding any additional investigative steps required to support contemplated disciplinary proceedings and consult with Investigation staff in that regard.

Education/Experience:

• Bachelor of Laws degree (or recognized equivalent). Membership in good standing with the Law Society of a Canadian provincial or territorial jurisdiction.
• The Canadian Securities Course, the Branch Managers Course or the Chief Compliance Officers Qualifying Exam would be an asset.
• Minimum three years of litigation experience preferably in securities and regulatory enforcement.
  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
  While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.
  New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.